Managing Director, Head of US Surveillance
RBC
Managing Director, Head of Markets Business Control Management
Wells Fargo
Vice President of Client Solutions
Solidus Labs
Managing Director, AI Compliance and Data Intelligence
Citigroup
Managing Director & Global Head of Institutional Trade Monitoring, Regulatory Reporting, Supervisory Controls Technology,
Morgan Stanley
Head of Financial Crime Production
XLoD Global
Head of XLoD Production
Managing Director, Head of Front Office Trade Surveillance
Truist
Managing Director, Head of Business Controls
Mizuho
Senior Moderator
Co-Director
Independent Contributor and University Lecturer
Independent Contributor
Managing Director Global Head of Communications Surveillance CIB and CB
Former Chief Compliance Officer, Citigroup & Senior Moderator
Vice President for Strategy and Program Risk
FINRA
Managing Director, Operational Risk Management
TD Securities
Managing Director - Head of Operational Risk Control, IB And Non-Core & Legacy
UBS
Director of Product Strategy
Shield
Chief Executive Officer, US and Americas
Standard Chartered Bank
Senior Consultant
COMPLY
Managing Director, Head of Control, Strategy and Innovation, Global Security
JPMorgan Chase
Managing Director, Global Head of Operational Risk – Markets
Managing Director, Chief Operating Officer, US
Scotiabank
Chief Revenue Officer
Behavox
Chief Risk Officer
General Bank of Canada
Managing Director, Head of Equity Business Controls and Supervision
Bank of America
Managing Director, Chief Operating Officer, Compliance
Barclays
Managing Director, Global Head of Market Surveillance
State Street
Managing Director, Global Head of Surveillance
Managing Director, Capital Markets Supervision
BMO Capital Markets
General Counsel & Vice President of Compliance
Theta Lake
Managing Director, Chief Controls Officer for The Americas, Investment Bank And IHC
Global Head of Trade Surveillance
Senior Product Manager – Markets Surveillance
NICE Actimize
Managing Director, Head of Internal Audit, Europe & Americas
Product Manager- Communication Surveillance
Moderator
Executive Vice President & Global Chief Compliance Officer
Managing Director, Global Head of Equities Risk and Control
Award-Winning NASA Astronaut, SpaceX Crew Dragon Commander, Marine Corps Officer & Business Executive
Managing Director, Head of Cyber Risk
Managing Director, Head of Americas Communications Surveillance
SMBC
Global Chief Audit Executive
Aegon
Managing Director, US Head of Internal Controls
Managing Director, Head of Non-Financial Risk Americas
Deutsche Bank
Managing Director, Global Head Compliance Information Controls Group
Chief Customer Intelligence
Harry Labana, Senior Vice President General Manager, DCG Business Unit
Proofpoint
Director of Global Product Marketing
1LoD
Principal
PwC
Managing Director, Head of Operational Risk, Americas
Head of Legal & Chief Compliance Officer, Americas
ICBC Standard Bank Group
Managing Director - Head Capital Markets Operational Non-Financial Risk
BMO
Managing Director, Market Conduct & Supervision
Compliance Director - Senior Surveillance Principal
Senior Managing Director, Head of Finance Risk Compliance
Accenture
Chief Operating Officer, Banking & International
Managing Director, 1st Line Operational Risk & Resilience
Assistant Director, Enforcement
U.S. Securities and Exchange Commission (SEC)
Americas Head of Non-financial Risk, Markets and Securities Services
HSBC
Global Head, Financial Services Risk & Compliance GTM
ServiceNow
Chief Compliance Officer, Americas and Head of Financial Crime Compliance, Europe & Americas
Federal Reserve Bank of New York
Senior Vice President and Head Enterprise Compliance Strategy and Program Governance
Valley Bank
Editor, Risk Benchmarking
Risk.Net
Managing Director, Global Head of Technology Risk Management and Analytics
Principal Solutions Architect
Smarsh
Managing Director, Chief Internal Auditor
Managing Director, US Chief Auditor
Chief Auditor
BNY
Managing Director, Head of Regulatory Affairs, Combined US Operations
Natixis Corporate & Investment Bank
Managing Director, Operational Risk Management (Global Markets)
Société Générale
Senior Managing Director / Senior Vice President - Technology, Cybersecurity and Resilience
Deputy Chief Compliance Officer
City National Bank
Managing Director, Compliance Enineering
Goldman Sachs
Managing Director, Deputy CTO, US Banks
US Head of Regulatory Intelligence
Global Relay
Managing Director, Head of Business Controls – Americas
MUFG
Global Head of Trade and Control Room Surveillance
Director of Product Management
Arctera
Global Sales Executive Head
CUBE global
Managing Director, Head of Banking & International & Client Technology
Managing Director, Global Head of Trade Surveillance
Managing Director, Technology
Managing Director, Futures Compliance
National Futures Association (NFA)
Managing Director, Risk & Compliance
Managing Director, Global Markets Chief Control Office
Managing Director, Banking & Capital Markets NA Data & AI Leader
Managing Director, Head of Governance and Controls, Markets
Division Director, Global Head e-Comms Surveillance
Macquarie
