Michael Hogan Email and Phone Number
As an accomplished Chief Compliance Officer (CCO) and Board Member with an extensive tenure in financial services, I bring a wealth of expertise and strategic insight honed through navigating complex regulatory environments. My career has been defined by a steadfast commitment to upholding the highest standards of governance and integrity while fostering a culture of compliance excellence.Throughout my 20 years overseeing compliance operations for leading financial institutions, I've cultivated a deep understanding of the nuanced regulatory frameworks that govern the industry. Leveraging this comprehensive knowledge, I've effectively developed and implemented robust compliance strategies, ensuring adherence to regulatory mandates while driving sustainable business growth.My passion lies in continuing to contribute strategically at the board level, utilizing my multifaceted experience to drive pivotal decisions and shape the trajectory of mutual fund operations; I am valued for the current insights I bring to the boardroom. With a vision centered on optimizing operational efficiency, mitigating risks, and fostering a culture of transparency, I am eager to channel my skills and dedication into a board member role within the mutual fund sector. My aim is to steer organizations towards success and deliver sustained value to stakeholders.I am committed to continuous learning as I am an adjunct faculty at various universities teaching undergraduate and graduate level courses in compliance, financial services law and securities law. In addition, I am currently pursuing my Ph.D. in Visual Arts at the Institute for Doctorial Studies.
Wake Forest University School Of Professional Studies
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Adjunct Professor Of The PracticeWake Forest University School Of Professional StudiesBoston, Ma, Us -
Member Of The Board Of AdvisorsBarrier Breakers®, Inc. Jun 2024 - PresentBoston, Massachusetts, United States -
Course FacilitatorCornell University Oct 2022 - PresentCourse facilitator for eCornell courses in federal securities law and real estate. -
Adjunct FacultyBryant University Dec 2020 - PresentNorth Smithfield, Rhode Island, United StatesDesign and deliver undergraduate course in the Law of Financial Institutions. -
Managing Director, Chief Compliance Officer CsimCharles Schwab Sep 2019 - Jan 2024Boston, Massachusetts, United StatesHead of asset management compliance. Chief Compliance Officer for Charles Schwab Investment Management and the Charles Schwab Funds and ETFs which grew to over $950 billion during my tenure. Led integration of asset management compliance into a firm-wide shared services compliance model. Transformed the firm-wide fiduciary and conflicts functions as head of the Fiduciary and Conflicts committee. -
Senior Vice President, Chief Compliance OfficerCharles Schwab Apr 2011 - Sep 2019San Francisco Bay AreaHead of asset management compliance with responsibility for leading a team that supported four registered registered investment advisers as well as the Schwab mutual funds, ETFs, collective trusts, Irish UCITS fund, and Schwab SMA's. Chief Compliance officer for Charles Schwab Investment Management and the Schwab mutual funds and ETFs. -
Vice President, Chief Compliance OfficerCharles Schwab Jul 2009 - Apr 2011San Francisco Bay AreaChief Compliance Officer for Charles Schwab Investment Management and the Schwab Funds and ETFs. Transformed the regulatory compliance functions supporting these programs and strategies to best of class. -
Director, Regulatory ComplianceWellington Management Aug 2007 - Feb 2009Established a regulatory compliance function to support all aspects of investment adviser compliance program administration. Modernized the firm's Code of Ethics as secretary of the firm's Ethics Committee. -
Senior Vice President, Chief Compliance Officer, Head Of Global ComplianceBrown Brothers Harriman Nov 2004 - Jul 2007Boston, New York, United StatesEstablished and executed a strategic vision for a firm-wide compliance function with an integrated compliance team supporting all business lines across multiple global locations. Established the adviser and mutual fund compliance program following adoption of Rules 204(6)-7 and 38a-1. -
Senior Vice President, Investor Services CounselBrown Brothers Harriman Nov 1994 - Nov 2004Boston, Massachusetts, United StatesEstablished the firm's inaugural legal department to provide comprehensive legal support to domestic and international Investor Services business units. Established principles-based negotiation standards to guide client documentation consistent with the firm's established risk tolerances. Secretary of the Global Risk and Credit Committee. -
Vice President, Investor Services OperationsBrown Brothers Harriman Sep 1989 - Nov 1994Boston, LuxembourgVarious positions in the Investor Services operational support division, including assisting in the opening of the firm's Luxembourg office as second in command, as well as overseeing development and implementation of a comprehensive corporate actions monitoring system to mitigate firm risk while ensuring prompt and clear communication of corporate events to clients. -
Assistant Vice President, Investor Services OperationsBrown Brothers Harriman Sep 1985 - Sep 1989Boston, Massachusetts, United StatesHeld a series of roles including mutual fund accounting supervisor and head of the corporate actions department.
Michael Hogan Education Details
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French -
Art History, Criticism And Conservation
Frequently Asked Questions about Michael Hogan
What company does Michael Hogan work for?
Michael Hogan works for Wake Forest University School Of Professional Studies
What is Michael Hogan's role at the current company?
Michael Hogan's current role is Adjunct Professor of the Practice.
What schools did Michael Hogan attend?
Michael Hogan attended Suffolk University Law School, Bates College, Institute For Doctoral Studies In The Visual Arts, Lindenwood University.
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