Most recently, Brent served as a Senior Advisor and Compliance Consultant at Charles Schwab & Co., Inc., where he worked on a wide variety of regulatory and compliance issues related to the acquisition of TD Ameritrade. His work included drafting FINRA filings, reviewing firm policies and procedures, and assisting the firm’s efforts to ensure compliance with Regulation Best Interest and the Department of Labor Fiduciary Rule.
Prior to Schwab, Brent held several senior legal leadership roles at UBS Wealth Management from 2008 to 2019, including Managing Director and Global Co-Head of IPS Legal and General Counsel of UBS Financial Services, Inc. He provided strategic legal guidance across investment platforms, capital markets, and advisory businesses globally. Brent built and led a global Legal team, supported executive leadership and the board, and represented the firm in complex regulatory interactions.
Earlier at UBS, Brent served as Managing Director and Senior Deputy General Counsel, heading the Wealth Management and Investment Solutions Legal Group. In this capacity, he led enterprise-wide initiatives to manage complex product risks, advised on key compliance topics such as mutual fund share classes and private placements, and served as Acting General Counsel for the Americas in 2014.
Brent began his in-house legal career at JPMorgan Chase, where he spent 15 years in progressively senior roles, ultimately serving as Global General Counsel and Managing Director for Asset & Wealth Management. Over the course of his tenure, he led global compliance and legal functions, served as Chief Compliance Officer for JPMorgan Securities, and played a pivotal role in developing and implementing robust compliance frameworks across the investment bank and wealth management divisions. Previously, he spent 7 years at the SEC where he served as Legal Counsel to the Chairman and Deputy Chief of the SEC’s Office of International Corporate Finance. He began his legal career as an associate at the law firm of Donovan Leisure Newton & Irvine.
