Bryan T. Baas
About Bryan T. Baas
Bryan T. Baas is the Managing Director and Chief Compliance Officer at TD Ameritrade, overseeing compliance programs for both retail and institutional broker-dealer business units.
Company
Bryan T. Baas is currently employed at TD Ameritrade. He has held a significant position there as Managing Director and Chief Compliance Officer. His responsibilities include leading compliance programs for both retail and institutional broker-dealer business units. Additionally, he oversees compliance for investment advisory business units, ensuring that all supervisory programs enable business units to achieve their goals while maintaining regulatory compliance.
Title
Bryan T. Baas holds the title of Managing Director and Chief Compliance Officer at TD Ameritrade. He has occupied this role since 2019 and is based in the Dallas/Fort Worth area. His expertise includes comprehensive oversight of compliance programs across various business units.
Education and Expertise
Bryan T. Baas completed his studies at Miami University from 1983 to 1985, where he achieved a degree in Business Administration. Over the years, he has cultivated extensive expertise in risk management, compliance, and supervisory programs. His career spans pivotal roles in operational and institutional risk management, notably within the financial services industry.
Background
Bryan T. Baas has an extensive professional background predominantly within the financial industry. Prior to his current role, he worked at TD Ameritrade Institutional as Managing Director, Chief Risk Officer for four years, and as Director of Institutional Risk Oversight and Controls Management for another four years. Earlier in his career, he spent several years at Fidelity Investments in various capacities including Vice President of Operational Risk Management and Senior Director of Operational Risk and Controls Management.