Title: Compliance Manager
Company: Charles Schwab & Co. Inc.
Location: Council Bluffs, Iowa, United States
Jeremy L. Buhr, compliance manager at Charles Schwab & Co. Inc., has been recognized by Marquis Who’s Who Top Executives for dedication, achievements, and leadership in compliance.
With a decade and a half of experience to his credit, Mr. Buhr has established a successful career in compliance. Since 2021, he has served as a compliance manager at financial services company Charles Schwab & Co. Inc. In this capacity, he conducts comprehensive reviews of various departments to ensure their practices align with written supervisory procedures. His responsibilities also include verifying that documented procedures accurately reflect actual operations, identifying discrepancies, and collaborating with department leaders to update procedures or adjust practices as needed. Engaging with business units across the organization, he gathers test samples, addresses irregularities, and reinforces Schwab’s commitment to regulatory compliance and exceptional client service. His previous experience includes serving as a compliance officer at T.D. Ameritrade, now Charles Schwab & Co. Inc., for two years and as a compliance officer at Principal Financial Services Inc. for two years. Additionally, he dedicates his time as a participant at various company charity events.
Mr. Buhr laid a strong educational foundation, earning a bachelor’s degree in banking and finance from Buena Vista University and a Master of Business Administration from the University of Wisconsin-Whitewater. He holds certifications as a certified information privacy professional and has obtained FINRA Series 24 and Series 7 licenses. Reflecting on his path, he has always been drawn to a career in compliance within a broker-dealer environment. Early on, he faced difficulties obtaining the required licenses, which made entering the broker-dealer sector more complex. Undeterred, he began his professional journey at an insurance company, where he gained valuable experience in financial transactions. His perseverance eventually paid off, enabling him to transition into a compliance review role at a broker-dealer.
Mr. Buhr’s most notable achievement is successfully completing the Series 24 exam, a significant and challenging qualification within the broker-dealer industry recognized as a supervisory designation by FINRA. Although he faced initial setbacks and did not pass on his first attempt, his determination and resilience led him to persevere and ultimately succeed. Additionally, the lessons that have guided him throughout his career stem from a TED Talk on the eight traits of successful people, which he and his colleagues have discussed at work. These traits include passion, hard work, focus, persistence, continuous improvement, generating ideas, serving others, and pushing oneself to overcome challenges.
Mr. Buhr attributes his success to the unwavering support of his parents, which provided him with a strong foundation. Interestingly, he now finds unexpected support and inspiration from his teenage son, reinforcing the importance of encouragement throughout life. Looking to the future, he aims to continue advancing his career in compliance within the broker-dealer industry. While he values his current role, he remains open to exploring new opportunities that align with his goals. His focus is on ongoing learning and professional development, with aspirations to obtain additional FINRA licenses and further enhance his expertise. Outside of his professional life, he enjoys taking road trips to small towns and visiting local attractions.
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