Managing Director, Head of US Surveillance
RBC
Managing Director of Examinations for OTC Derivatives
National Futures Association (NFA)
Managing Director, Head of Markets Business Control Management
Wells Fargo
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
Managing Director, Head of Global Markets Compliance and Operational Risk
Bank of America
Moderator
Co-Director
Managing Director - Operational Risk
Macquarie Group
Former Chief Compliance Officer, Citigroup & Senior Moderator
Managing Director, Operational Risk Management
TD Securities
Managing Director - Head of Operational Risk Control, IB And Non-Core & Legacy
UBS
Managing Director, Head of Control, Strategy and Innovation, Global Security
J.P.Morgan
Managing Director, Global Head of Operational Risk – Markets
Citigroup
Chief Risk Officer
General Bank of Canada
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
Global Head of Trade Surveillance
Managing Director, Chief Operational Risk Officer and CRO Securities Services & Digital
BNY Mellon
Managing Director, Head of America’s, Front Office Conduct and Surveillance
BNP Paribas
Executive Vice President & Global Chief Compliance Officer
Award-Winning NASA Astronaut, SpaceX Crew Dragon Commander, Marine Corps Officer & Business Executive
Managing Director, Head of Cyber Risk
Global Chief Audit Executive
Aegon
US Head of Internal Controls
Scotiabank
Managing Director, Head of Non-Financial Risk Americas
Deutsche Bank AG
Managing Director, Global Head Compliance Information Controls Group
Managing Director, Head of Operational Risk, Americas
Managing Director- Global Head of Control Room
Managing Director - Head Capital Markets Operational Non-Financial Risk
Compliance Director - Senior Surveillance Principal
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
Senior Moderator
Managing Director, Head of Transversal Operational Permanent Control
Managing Director, Chief Internal Auditor
Managing Director, US Chief Auditor
Chief Auditor
Managing Director, Operational Risk Management (Global Markets)
Société Générale
Deputy Chief Compliance Officer
City National Bank
Managing Director, Compliance Enineering
Goldman Sachs
Independent Contributor
Managing Director, Head of Surveillance & Compliance Technology
Managing Director, Head of Business Controls – Americas
MUFG
Managing Director, Global Head of Trade Surveillance
Managing Director, Global Markets Chief Control Office
BNY
Managing Director, Head of Governance and Controls, Markets
Division Director, Global Head e-Comms Surveillance
