Raymond J. Di Sanza

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Raymond J. Di Sanza
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Occupation Senior Vice President, Operational Services
Employer Charles Schwab & Co., Inc.

Ray Di Sanza is a senior vice president at Charles Schwab & Co., Inc and leads the custody & asset servicing group in operational services. This team has responsibility for the safe custody and servicing of client assets held by Charles Schwab on behalf of its clients. Sanza's responsibilities include corporate actions, cashiering, margin, security master, P&S and settlement operations, cost basis and tax reporting. Prior to his current role, he was responsible for the creation of Schwab's Operational Services Control team, as well as holding multiple operational positions in his 14 year career. He joined Schwab as the vice president of the corporate actions area.[1]

Background

Before joining Schwab, Sanza spent 22 years at Smith Barney in various operational roles, including core brokerage operations, stock record and control, mutual funds operations and Stock Plan Services.

He served on the board of directors of the Corporate Actions Division of the SIA (now SIFMA) and was president of the division from 1988 through 1989. He also served on the board of the Securities Operations Division of the SIA, and is currently a member of the SIFMA Private Client Operations Committee.

Education

He holds the FINRA Series 7, 9/10, 24 and 27 licenses and has successfully completed the FINRA at Wharton curriculum to earn the designation of Certified Regulatory and Compliance Professional (CRCP).

References

  1. Board Member Biographies. OCC.