Top Chief Compliance Officers in New York, New York

Gary Distell

Chief Compliance Officer, Senior Managing Director & Senior Regulatory Counsel

New York, New York

Chief Compliance Officer, Senior Managing Director & Senior Regulatory Counsel

Chief Compliance Officer, Managing Director, Guggenheim Securities, LLC

Managing Director, Regulatory Counsel

Senior Consultant

Partner

The George Washington University Law School

Penn State University

Recommendations: 5

Securities

Compliance

Hedge Funds

Trading

FINRA

Prime Brokerage

Securities Regulation

Capital Markets

g****[email protected]

Andrew CFA

Managing Director, Investment Banking

New York, New York

Managing Director, Investment Banking

Chief Compliance Officer

Adjunct Professor

Managing Director

Chief Compliance Officer and Investment Banker

CEO

Recommendations: 4

Equities

Risk Management

Fixed Income

ABS

CDO

Portfolio Management

Hedge Funds

Investments

s*****@greenwichfinancial.com

Kamal Jafarnia

Executive Vice President, Legal and Corporate Development

New York, New York

Executive Vice President, Legal and Corporate Development

Senior Vice President

Managing Director, Legal and Business Development

Of Counsel

General Counsel and Chief Compliance Officer

Senior Vice President

Vice President And Asst. General Counsel

Chief Compliance Officer and Executive Vice President

Recommendations: 2

Securities

Securities Regulation

Due Diligence

FINRA

Alternative Investments

Private Placements

Mutual Funds

Investment Advisory

k****[email protected]

Kerry Acocella

Senior Corporate Counsel - Corporate and Securities

New York, New York

Senior Corporate Counsel - Corporate and Securities

Executive Director, Legal & Chief Compliance Officer

Chief Corporate Counsel

Associate, Corporate Finance

Corporate Counsel

Benjamin N. Cardozo School of Law, Yeshiva University

The University of Georgia

Recommendations: 0

k****[email protected]

Gary Collins

Attorney

New York, New York

Attorney

Partner/Government Investigations

Government Investigations Instructor

Chief Compliance Officer (EFS) & Core Compliance Leader (Global HQ), MD

University at Buffalo

Recommendations: 0

Leadership

Government

Litigation

Training

Legal Writing

Corporate Governance

Civil Litigation

Legal Research

g****[email protected]

Arman Thanviruddin

Compliance Manager

New York, New York

Compliance Manager

Chief Compliance Officer

Senior Compliance Manager

Senior Testing Analyst, Corporate Compliance

Compliance Analyst

National Bank Examiner

St. John's University

California State University-San Bernardino

Recommendations: 0

Marketing

Management

Advertising

Photoshop

Event Management

Customer Service

Public Relations

Retail

Gabriel Bisio

Senior Associate

New York, New York

Senior Associate

Associate

General Counsel and Chief Compliance Officer

Harvard Law School

Universidad Catolica Argentina

Recommendations: 0

Business Strategy

Corporate Law

Consumer Products

Legal Compliance

Corporate Governance

Mergers & Acquisitions

Licensing

Joint Ventures

g****[email protected]

Shahla Ali

Senior Compliance Advisor

New York, New York

Senior Compliance Advisor

CLO/CCO- Regulatory Affairs Specialist

Senior Legal and Compliance Consultant

Chief Legal Officer & Chief Compliance Officer

Chief Compliance Officer

Deputy Chief Compliance Officer

Assistant Attorney General

Boston University School of Law

Boston University- College of Arts and Sciences

Recommendations: 0

s****[email protected]

Joseph Scavo

Managing Director - Head of FCC Controls

New York, New York

Managing Director - Head of FCC Controls

Corporate Vice President, Chief Compliance Officer

Vice President, Divisional Compliance Officer (Southeast)

Vice President, Compliance Manager

Corporate Vice President, Audit Manager

Vice President, Audit Manager

Supervisor

Managing Director - Head of FCC Wholesale Banking

Managing Director- Global Head of Financial Crimes/AML- Investment Banking,Markets and IS

Regional Head of AML for the Americas at UBS AG

Executive Director, Chief Compliance Officer - UBS Private Bank/UBS International

Senior Vice President, Director of Compliance

First Vice President, Deputy Director of Compliance

Corporate Vice President, Assistant Director of Compliance

St. John's University

st john's university

Recommendations: 0

AML

USA PATRIOT Act

Sanction

Fixed Income

Securities

Capital Markets

Private Banking

Financial Advisory

Mark Carawan

Senior Manager - Financial Markets Division

New York, New York

Senior Manager - Financial Markets Division

Assistant Swimming Coach

Partner - Financial Markets Division

Managing Partner - Privatization and Emerging Markets

Fellow

Managing Partner - Nordic Financial Markets Group

Chair: Department of Languages

Chief Internal Auditor

Senior Fellow

Chief Compliance Officer

Chief Internal Auditor

University of St Andrews

Rutgers University

Recommendations: 0

Internal Audit

Risk Management

Financial Risk

Operational Risk

Enterprise Risk Management

Operational Risk Management

Internal Controls

AML

Andy Cadel

Global Head - Cybersecurity Governance Risk and Controls

New York, New York

Global Head - Cybersecurity Governance Risk and Controls

Assoc. Gen. Counsel

General Counsel, Chief Compliance Officer -- Global Technology

Senior Attorney

Chief Compliance Officer - Technology and Cybersecurity

Litigation Associate

Associate

Baldwin High School

Recommendations: 0

c****[email protected]

Tom DiSpaldo

Director, Compliance

New York, New York

Director, Compliance

Chief Compliance Officer

Senior Examiner

Director, Regulatory Manager/Supervisor

Director, Compliance

Compliance Director & FINOP

Penn State University

Recommendations: 0

t****[email protected]

Cindy Michel

Board Member

New York, New York

Board Member

Chief Compliance Officer

Associate, Corporate and Securities

Managing Director & Chief Compliance Officer

Assistant Vice President, Legal & Compliance

Director of Compliance

Vice President, Director of Private Equity Compliance

Boston University School of Law

Columbia University in the City of New York

Recommendations: 0

Securities Regulation

Business Strategy

Alternative Investments

Due Diligence

Hedge Funds

Securities

Private Equity

Mergers & Acquisitions

c****[email protected]

Michele Fleming

Judicial Law Clerk

New York, New York

Judicial Law Clerk

Associate

Director of Compliance and Associate General Counsel

EVP & Chief Compliance Officer

Associate Counsel

EVP, Chief Compliance Officer & Interim Chief Legal Officer

General Counsel

AML/OFAC Compliance Officer

Intern

NY State Board of Law Examiners

Centre de Formation Professionnelle des Avocats, Paris, France

Institut des Études Judiciaires

Recommendations: 0

Anti Money Laundering

Corporate Governance

OFAC

Foreign Corrupt Practices Act

Due Diligence

Bank Secrecy Act

Operational Risk

Corporate Law

f****[email protected]

Michael Cohn

Chief Compliance Officer and Deputy General Counsel

New York, New York

Chief Compliance Officer and Deputy General Counsel

University of Florida

Recommendations: 0

Securities

Hedge Funds

Private Equity

Compliance

Securities Law

Asset Management

FINRA

Investments

m*****@fortress.com

Chad Estep

Enterprise Chief Compliance Officer

New York, New York

Enterprise Chief Compliance Officer

Audit Senior

Chief Compliance Officer

Lipscomb University

Recommendations: 0

e****[email protected]

Robert Mendelson

Attorney Fellow and Senior Advisor

New York, New York

Attorney Fellow and Senior Advisor

Partner

Senior Advisor

Chief Compliance Officer

Boston College Law School

Rice University

Recommendations: 0

Securities Regulation

Securities Litigation

Litigation

Commercial Litigation

Corporate Governance

Arbitration

Corporate Law

Class Actions

Todd Spillane

CCO

New York, New York

CCO

Co-Founder

Executive Director

Chief Operating Officer

General Counsel, Chief Operating Officer, Chief Compliance Officer

Independent Compliance Consultant

CCO

CEO

Deputy General Counsel, CCO and Global Head of Product Development

Western New England University School of Law

Fairfield University

Recommendations: 0

Mutual Funds

Securities

Alternative Investments

Hedge Funds

Series 7

Asset Management

Equities

FINRA

t****[email protected]

Michael Loughney

Senior Trial Attorney

New York, New York

Senior Trial Attorney

Global Head of Legal and Compliance

Head of Legal, Structured Credit

Global Head of Equities Compliance

Staff Attorney

Chief Compliance Officer Citadel Global Equities, Ashler Capital

Head of GBM Legal, APAC

General Counsel Markets UK and EMEA

General Counsel Asia Pacific

Head of Legal and Compliance, New York Branch and Securities Broker

Universität Hamburg / University of Hamburg

American University, Washington College of Law

Fairfield University

Recommendations: 0

Banking

Capital Markets

Derivatives

Equities

Financial Markets

Investment Banking

Corporate Finance

Structured Finance

Ronald Esq.

Senior Legal, Compliance and Regulatory Executive

New York, New York

Senior Legal, Compliance and Regulatory Executive

SVP APAC Compliance AML Markets and Regulatory Advisory

Chief Operating Officer / Chief Compliance Officer / General Counsel

Director, Compliance - Global Markets

Consultant, Legal, Regulatory and Compliance

Chief Compliance Officer / General Counsel / Chief Operating Officer

Founding Managing Director

Associate, Fixed Income

Senior Associate International Attorney

Graduate Fellow

Brigham Young University

Recommendations: 0

Alternative Investments

Capital Markets

Equities

Fixed Income

Hedge Funds

Investments

Management

Derivatives

Kelly Pettit

Senior Vice President, Chief Compliance Officer, Associate General Counsel

New York, New York

Senior Vice President, Chief Compliance Officer, Associate General Counsel

Associate General Counsel

Corporate and Compliance Counsel

Chief Compliance Officer and Associate General Counsel

Brooklyn Law School

Recommendations: 0

Private Equity

Mergers

SEC

Investment Management

Due Diligence

Securities Regulation

Hedge Funds

Growth Capital

k****[email protected]

Marc Ellenbogen

General Counsel and Chief Compliance Officer

New York, New York

General Counsel and Chief Compliance Officer

Chief Legal and Human Resources Officer

Associate

General Counsel & Chief Compliance Officer

Vice President, Legal and Business Affairs, Deputy General Counsel, Assistant Corporate Secretary

Associate General Counsel; VP, Corporate Strategy and Business Development, Time Warner Retail

Recommendations: 0

Business Development

Capital Markets

Corporate Law

Due Diligence

Securities

Strategic Partnerships

Business Strategy

Corporate Governance

Jonathan Gelman

Manager

New York, New York

Manager

Vice President - Compliance Manager

Vice President

Deputy Chief Compliance Officer

Concord Law School - Kaplan University

Colgate University

Recommendations: 0

Debbie Wussow-Hammalian

SVP Chief Compliance Officer

New York, New York

SVP Chief Compliance Officer

Chief Compliance Officer

SVP, Chief Compliance Officer

Compliance Officer

Anderson School at UCLA

National University

Recommendations: 0

Portfolio Management

Securities

Series 7

Hedge Funds

Asset Managment

Investments

Bank Secrecy Act

USA PATRIOT Act

d****[email protected]

Frank Vecchione

SVP - Deputy Chief Compliance Officer

New York, New York

SVP - Deputy Chief Compliance Officer

VP - Compliance Officer

Manager - Financial Institutions Group

AML Compliance Officer

Recommendations: 0

AML

USA PATRIOT Act

OFAC

KYC

Bank Secrecy Act

Fraud

Banking

Risk Management

f****[email protected]

Margarida Brito

Managing Director

New York, New York

Managing Director

Founder

Fixed Income Chief Compliance Officer

Global FX Single Risk Entity Project Manager

Executive Director, Head of Fixed Income Compliance

Vice President

New York University

Recommendations: 0

Scott Yi

Associate Director, Equities Compliance

New York, New York

Associate Director, Equities Compliance

VP, Policies and Training

VP, Equities Compliance

Chief Compliance Officer

Managing Director, Equity, Derivatives, Capital Markets and Prime Brokerage Compliance

Recommendations: 0

s****[email protected]

Michele Teichner

Managing Director/Chief Compliance Officer

New York, New York

Managing Director/Chief Compliance Officer

Pace University - Lubin School of Business

Recommendations: 0

Alessandro Giorgis

General Counsel and Chief Compliance Officer

New York, New York

General Counsel and Chief Compliance Officer

Managing Director, Associate General Counsel

General Counsel, Chief Compliance Officer

Counsel

Columbia Law School

Columbia College (NY)

Recommendations: 0

John Valentini

Chief Compliance Officer, Director of Operations

New York, New York

Chief Compliance Officer, Director of Operations

Chief Operations Officer, Chief Compliance Officer

Pace University

Mount St. Michael Academy

Recommendations: 0

Lisa S.

Senior Compliance Counsel

New York, New York

Senior Compliance Counsel

SVP, Chief Compliance Officer

Harvard Law School

Yale University

Recommendations: 0

Privacy Law

Data Privacy

Risk Assessment

FCPA

Training

Competition Law

Management

Licensing

l****[email protected]

Terrianne Patnode

Chief Compliance Officer and Senior Counsel

New York, New York

Chief Compliance Officer and Senior Counsel

Partners in Prosecution Extern

Associate

Rutgers University School of Law - Camden

Boston College

Recommendations: 0

t****[email protected]

Jacquie Giammarco

Corporate Partner

New York, New York

Corporate Partner

SVP and Company Secretary

Chief Compliance Officer

New York University

University of Alberta

Wilfrid Laurier University

Recommendations: 0

Corporate Governance

Corporate Law

Mergers

Private Equity