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SuperReturn CFO/COO North America
May 6-7, 2024
Intercontinental Chicago Magnificent MileChicago

Steven Schwab
Senior Director, General Counsel and Chief Compliance Officer at Thoma Bravo
Speaker

Profile

Steven Schwab is Senior Director, General Counsel and Chief Compliance Officer at Thoma Bravo. Based in Chicago, he joined Thoma Bravo in 2015 and is responsible for the firm’s legal, compliance and regulatory functions, which include the design, implementation and operation of the firm’s compliance program. Prior to joining Thoma Bravo, Steven held senior legal, compliance and management positions, including General Counsel and Chief Compliance Officer, at international investment firms and broker-dealers. Before moving in-house, he practiced law in the Financial Services Groups at Winston & Strawn and Katten Muchin Rosenman in Chicago, advising clients across the spectrum of regulated financial services firms. Steven earned a JD, cum laude, from Loyola University School of Law in Chicago and a BA from Miami University in Oxford, Ohio. He regularly speaks at industry conferences on topics affecting the private equity industry, and he holds a FINRA Series 14 registration and previously held FINRA Series 7 and 24 registrations

Agenda Sessions

  • The Unseen Risks: What Tipper X Teaches Us About Compliance Blind Spots for

    10:15