Phyllis Knowles's Location
Frisco, TX, US
Phyllis Knowles's Work
- Director Alternative Investments Compliance @ Charles Schwab
- Senior Manager, Brokerage Operations Clearing Compliance @ TD Ameritrade
- Senior Manager, Operations Control @ TD Ameritrade
- Compliance Consultant @ Knowles Consulting
- Chief Compliance Officer and EVP @ Southwest Securities, Inc.
Phyllis Knowles's Education
- Texas A&M University-Commerce
BSBA (Business)
2008 - 2011 - University of Pennsylvania - The Wharton School
Certificate (Securities Industry Institute)
2005 - 2008 - University of Pennsylvania - The Wharton School
Certificate (Certified Regulatory and Compliance Professional)
2005 - 2008
- Texas A&M University
Industrial Education
1977 - 1978 - Refugio High School
High School Diploma
1973 - 1977
Phyllis Knowles's Skills
- Operational Risk Management
- Internal Controls
- Compliance
- Risk Management
- Risk Assessment
- Underwriting
- Auditing
- Investment Management
- Recruiting
- Budgets
Phyllis Knowles's Summary
Phyllis Knowles, based in Frisco, TX, US, is currently a Director Alternative Investments Compliance at Charles Schwab, bringing experience from previous roles at TD Ameritrade, Knowles Consulting and Southwest Securities, Inc.. Phyllis Knowles holds a 2008 - 2011 BSBA in Business @ Texas A&M University-Commerce. With a robust skill set that includes Operational Risk Management, Internal Controls, Compliance, Risk Management, Risk Assessment and more, Phyllis Knowles contributes valuable insights to the industry. Phyllis Knowles has 6 emails on RocketReach.
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