Loading All 0 - 9 A B C D E F G H I J K L M N O P Q R S T U V W X Y Z Cliffe Allen Managing Director, OTC Derivatives, National Futures Association (NFA) Farhan Amin Managing Director, Global Head of Markets Business Control Management, Wells Fargo Nikhil Awasthi Managing Director & Global Head of Institutional Trade Monitoring, Regulatory Reporting, Supervisory Controls Technology, Morgan Stanley Bala Ayyar Managing Director - Regulatory, Office of the Group COO, Societe Generale Danielle Bartolomei Managing Director, Compliance and Operational Risk, JPMorgan Chase Julie Bellinger Senior Product Manager, IBM Data and AI Software Robert Benjamin Managing Director, Head of Front Office Trade Surveillance, Truist Securities Dominique Benz Managing Director, Head of Business Controls, Mizuho Americas Kashyap Bhatia Managing Director, Global Head of FICC Compliance and Markets Surveillance Strategy, Bank of America Rajiv Bhattacharya Managing Director, Head of Governance and Controls, Scotiabank David Blunt Moderator, 1LoD Andy Cadel Managing Director, Chief Privacy Officer, Head of Technology and Data Compliance, Morgan Stanley Joseph Campione Managing Director, Global Head of Communications Surveillance for CIB, Int’l, CB and TMPS, Wells Fargo Andre Caraballo managing Director - Operational Risk , Macquarie Joanne Cash Head of Control Management for Operations and Investment Services, BNY Mellon Suprio Chaudhuri Chief Compliance Officer for Americas, Natixis Sonia Chowdhury Regulatory Solution Sales Subject Matter Expert, SteelEye Ed Clementi Managing Director, Global Head of ICG Risk and Control, Citigroup and Founder & CEO, InspiredFire LLC Bill Colacicco Managing Director - Head of Global Markets Risk & Controls, MUFG Paul Cottee Director, Subject Matter Expert, NICE Actimize Steven Cranwell Chief Executive Officer, Americas, Standard Chartered Bank Rajeev Dave Former Managing Director, Head of Surveillance, Sumitomo Mitsui Banking Corporation Alex de Lucena Director of Product Strategy, Shield Mandy DeFilippo Managing Director, COO Legal & Compliance, Risk and Operations, Citadel Securities Dan Devroye Managing Director, Head of Control, Strategy and Innovation, Global Security, JPMorgan Chase Nick Diieso Managing Director, Global Head of Operational Risk – Markets, Citigroup Stephen Ditaranto Managing Director, Global Head of Capital Markets Surveillance, RBC Sean Dusseau Managing Director - Global Capital Markets Compliance, Scotiabank Chris Ferrara US Head of Surveillance and Monitoring, Credit Agricole Patricia Flynn Managing Director, Global Head Market Surveillance, State Street Global Markets Niki Fotheringham Managing Director, Global Head of Surveillance, Bank of America Shahid Ghaloo Strategy & Consulting Principal Director, Accenture Marc Gilman General Counsel & Vice President of Compliance, Theta Lake Greg Gist Managing Director, Business Continuity and Resilience, DTCC Cida Goncalves Managing Director, Chief Controls Officer for the Americas, Investment Bank and IHC, Barclays Alex Guest Managing Director, US Head of Controls, Scotiabank Rohini Gupta CEO, FinregE Craig Handyside Managing Director - Head of Internal Audit, Americas, Standard Chartered Bank Tom Hardin The lead FBI informant at the heart of the Galleon Group insider trading scandal, Tipper X Advisors Stuart Hoffman Bank Examiner, Governance and Operational Risk Policy Analyst, Office of the Comptroller of the Currency (OCC) Yvette Hollingsworth Clark Executive Vice President & Global Chief Compliance Officer, State Street Jonathan Hummel Chief Risk Officer, Americas, Deutsche Bank Uday Kamath Chief Analytics Officer, Smarsh Mathias Kramer Managing Director, Global Head Compliance Information Controls Group, Morgan Stanley Jon Kroeper Former Executive Vice President, Equities & Fixed Income Surveillance, FINRA Scott Levine Principal, Capital Markets Non-Financial Risk Lead, PwC Sasha Lewis Managing Director, Head of Operational Risk – Americas, UBS Jeff Loeb Managing Director, Global Head of Communications Surveillance & Americas Head of Surveillance, Deutsche Bank Steve LoGalbo Director, Compliance Product Management, NICE Actimize Tim Lutz Managing Director, Compliance Data, Innovation and Technology, State Street Michael Lyons Compliance Director - Senior Surveillance Principal, Citigroup Rob Mason Director, Regulatory Intelligence, Global Relay Lindsay Moilanen Assistant Director, Enforcement, U.S. Securities and Exchange Commission (SEC) Lida Nedell Managing Director, Technology Risk Management, BNY Mellon Lisa Nedell Managing Director, Technology Risk Management, BNY Mellon Mihaela Nistor Chief Risk Officer and Head of Risk Group, Federal Reserve Bank of New York Dr Roger Noon Senior Moderator, 1LoD Claire O’Sullivan Vice President, Regulatory Advisor and Stakeholder Engagement, FINRA Rupal Patel Co‑Head of Business Development, Acin Alex Posharow Managing Director, Americas Head of Monitoring, Surveillance and Controls, UBS Satya Ravi Managing Director, Regional Chief Audit Executive - Americas, Societe Generale Martina Rejsjo Director of Regulatory Affairs, Eventus Paul Ricci Senior Executive Vice President, Chief Auditor, Wells Fargo Greg Ruppert Executive Vice President, Member Supervision, FINRA Tracy Saale Managing Director, Conduct Risk Management and Shared Services; Corporate Responsibility Officer, Charles Schwab Marc Sabino Managing Director, Head of Innovation, Internal Audit, Wells Fargo Elisabeth Salmgren von Schantz Vice President & Head of European Surveillance, Nasdaq Christopher Scarpati Principal, PwC Lauren Schenker Managing Director, Head of Capital Markets Surveillance & Compliance Technology, Truist Securities Ajit Sequeira Managing Director, Head of Controls, Wealth, Citigroup Amy Shanle Managing Director, Head of Enterprise Change, Resiliency & Sourcing Officer, BNY Mellon Patrick Simonnet Managing Director, Chief Audit Executive, Bank of China Brian Slackman Managing Director, Head of Business Controls – Americas, MUFG Jeffrey Sundram Managing Director Head of U.S. Wholesale & Wealth Compliance, TD Securities Colin Telmer Managing Director, Global Head of Trade Surveillance, Scotiabank Dr Rimma Teper Senior Director, Behavioural Scientist, Internal Audit, RBC Tim Thompson Senior Vice President, Enterprise Risk Management, FINRA Michael Thor Managing Director - North American Financial Services Industry Leader, Protiviti John Trapani Global Industry Leader, Financial Services, Appian Tom Venezia EVP, Managing Director Americas, LeapXpert Tanya Weisleder CUSO Head of Conduct, Credit Agricole Doug Wilbert Managing Director - Banking & Capital Markets Leader, Protiviti Chuan Wong Managing Director, Chief Controls Officer, Markets, BNY Mellon
Skip to main content
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
.jpg/fit-in/500x500/filters:no_upscale())
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
