Rose Hauer
About Rose Hauer
Rose Hauer is a Compliance Officer at Dodge & Cox with extensive experience in governance, investment advisory, and broker dealer issues.
Compliance Officer at Dodge & Cox
Rose Hauer serves as a Compliance Officer at Dodge & Cox. In her role, she focuses on governance, investment advisory, and broker-dealer issues. She is responsible for establishing team responsibilities, oversight governance, and implementing controls. Rose is skilled in navigating practical solutions for business needs with vendors, regulators, and clients. Her approach is driven by collaboration and forming productive, trusting relationships both internally and externally.
Director at Charles Schwab
From 2007 to 2021, Rose Hauer worked as a Director at Charles Schwab in the San Francisco Bay Area. During her 14-year tenure, she gained extensive experience in governance and compliance within the investment and financial services industry. Her responsibilities included overseeing various compliance functions and ensuring adherence to regulatory standards. Her efforts contributed to the company's commitment to ethical practices and robust compliance frameworks.
Vice President at Managers Investment Group
Rose Hauer held the position of Vice President at Managers Investment Group from 2005 to 2007 in the San Francisco Bay Area. In this role, she was involved in governance, investment advisory, and broker-dealer issues. She played a key role in establishing and maintaining oversight and controls, ensuring the company's adherence to regulatory requirements and best practices within the financial industry.
Education in Finance, Economics, and Law
Rose Hauer attended Miami University, where she earned her Bachelor of Science (B.S.) in Finance and Economics. She further pursued her education at the University of Cincinnati College of Law, where she received her Doctor of Law (J.D.). Her academic background provided her with a solid foundation in both the financial and legal aspects of compliance and governance.
Expertise in Governance and Compliance
With extensive experience in governance, investment advisory, and broker-dealer issues, Rose Hauer specializes in crafting, establishing, and implementing team responsibilities, oversight, governance, and controls. Her approach is geared towards practical solutions for business needs while maintaining strong relationships with vendors, regulators, and clients. Her expertise is marked by a commitment to collaborative efforts and fostering trust in professional relationships.