Tracy Saale

Information

Saale established and leads the Charles Schwab Corporation's enterprise-wide Conduct Risk Management program. She oversees the Internal Investigations, Internal Surveillance, Anti-Bribery and Corruption, and Anonymous Reporting programs. She maintains responsibility for the Code of Business Conduct and Ethics and related governance policies. Saale also serves as the Corporate Responsibility Officer for the company. In that role, she fulfills certain activities mandated for publicly traded companies under the Sarbanes-Oxley Act of 2002, to include addressing and reporting on complaints or employee concerns related to internal accounting controls, auditing matters, material violations of securities law, breaches of fiduciary duty, or similar violations. As Managing Director of Shared Services, Saale directs the team responsible for governance, intelligence, reporting, training and awareness initiatives for Schwab's Financial Crimes Risk Management group of nearly 500 employees in Fraud, Anti-Money Laundering, Global Sanctions and Conduct Risk. In that role, she oversees key functional areas to include the Financial Intelligence Unit, Exam & Audit Management, Risk Operations, Technology and Data Strategy, Productivity Tools & Enhancements and Risk Assessments. Prior to joining Schwab, Saale worked for over 23 years as an attorney and Special Agent with the Federal Bureau of Investigation (FBI). She received her Juris Doctor degree from the Vanderbilt University School of Law and B.S. degrees in Political Science and French from Miami University. She is licensed to practice law in the State of Ohio.