American Author and Financial Security Consultant
Famous for his memoir “Catch Me If You Can”
Head of Legal & Chief Compliance Officer, Americas
ICBC Standard Bank Group
Managing Director, Head of Strategic Initiatives Group, CIB Control
Wells Fargo
Managing Director, Head of Global Markets Compliance and Operational Risk
Bank of America
Managing Director Global Head of Communications Surveillance CIB and CB
Managing Director - Operational Risk
Macquarie
Managing Director, Global Markets & Treasury NFRC ex-Japan
MUFG
Managing Director, Head of Operational Risk and Business Continuity & Resiliency
DTCC
Managing Director, Head of Control, Strategy and Innovation, Global Security
JPMorgan Chase
Managing Director, Global Head of Capital Markets Surveillance
RBC Capital Markets
Managing Director, Swap Dealer Compliance
Goldman Sachs
Managing Director, Global Head of Surveillance
Managing Director, Capital Markets Supervision
BMO Capital Markets
Managing Director, Chief Controls Officer for The Americas, Investment Bank And IHC
Barclays
Managing Director, US Head of Business Unit Risk Management
Scotiabank
Director
XLoD Global
Managing Director - Head Capital Markets Operational Non-Financial Risk
BMO
Former Managing Director, Global Head of Surveillance, TD Securities & Senior Moderator
Chief Operating Officer, Banking & International
Citigroup
Managing Director, 1st Line Operational Risk & Resilience
Americas Head of Non-financial Risk, Markets and Securities Services
HSBC
Managing Director, Head, Regulatory Engagement & Advocacy Americas
Standard Chartered Bank
Chief Risk Officer
Western Alliance
Managing Director, Global Head of Surveillance, Employee Compliance, Licensing
Managing Director, Head of Regulatory Affairs, Combined US Operations
Natixis
Chief Regulatory Officer
FINRA
Managing Director, Head of Business Controls – Americas
Managing Director, Head of Enterprise Non-Financial Risk Programs
Morgan Stanley
Managing Director, Global Head of Trade Surveillance
Managing Director, Global Markets Chief Control Office
BNY
Managing Director, Head of Governance and Controls, Markets
