Brad Treichler
About Brad Treichler
Brad Treichler is a Principal Risk Specialist in Member Supervision at FINRA, with a background in compliance and risk management across various financial institutions. He holds a degree in Business and International Relations from the University of California, Davis, and has over two decades of experience in the financial sector.
Work at FINRA
Brad Treichler currently serves as a Principal Risk Specialist in Member Supervision at FINRA. He has held this position since 2020 and is based in the New York City Metropolitan Area. In this role, he is responsible for overseeing risk management practices and ensuring compliance among member firms. His extensive background in compliance and risk management contributes to his effectiveness in this position.
Education and Expertise
Brad Treichler studied at the University of California, Davis, where he focused on Business and achieved a degree in International Relations. His education laid a foundation for his career in finance and compliance, equipping him with the necessary skills to navigate complex regulatory environments.
Professional Background
Brad Treichler has a diverse professional background in the finance and compliance sectors. He has held various roles, including Chief Compliance Officer at JB Oxford & Co and Archipelago / Terra Nova Trading. He also worked at Fidelity Investments in multiple capacities, including Vice President of the Fixed Income Product Group and Director of Compliance. His career spans several major financial hubs, including Greater Boston, Greater Los Angeles, and New York City.
Previous Positions
Before joining FINRA, Brad Treichler held significant positions in various financial institutions. He was the Chief Compliance Officer at TMC Bonds from 2018 to 2020 and served as a Trading Supervisor at Charles Schwab from 1991 to 1994. His experience includes roles in compliance, risk management, and trading supervision, contributing to his comprehensive understanding of the financial industry.