Subscribe to our mailing list

* indicates required







We seek to provide information, insights and direction that may enable the Financial Community to effectively and efficiently operate in a regulatory risk-free environment by curating content from all over the web.


Stay Informed with the latest fanancialish news.





Bari Havlik Replacing Susan Axelrod at FINRA

April 11, 2018

FINRA announced the hiring of Bari Havlik as EVP for Member Supervision; she will replace Susan Axelrod, who leaves FINRA after 28 years of service. In her new capacity, Ms. Havlik will report directly to FINRA CEO Robert Cook and will oversee, among other things, surveillance and examination programs for member firms.


Bari Havlik most recently was an SVP and CCO for The Charles Schwab Corporation – she stepped down from that position in October 2017. At Schwab, Ms. Havlik led a team of over 400 people responsible for enterprise-wide compliance programs, including those specific to the company’s broker dealers, investment advisors, mutual funds, retirement plan services, bank entities. In 2014 was asked by the CEO to take over responsibility for the BSA/AML OFAC and FCPA programs. 


She began her career in financial services in 1982 and has worked for discount brokerage, full service retail, and institutional securities firms, as well as bank-affiliated broker-dealers. Leading up to joining Schwab in 2003, Ms. Havlik held the following positions:


  • VP-Compliance for Wells Fargo Investments (2001-2003)
  • Compliance Director for MiFund (2000-2000)
  • Managing Director-Compliance for Banc of America Securities (1998-2000)


Havlik was on the board of the National Society of Compliance Professionals from October 2009 through March 2011. She was also active in several industry advisory committees for FINRA and the MSRB, including as a member of the FINRA Membership Committee. Havlik received her undergraduate degree from DePaul University.