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Editorial Board: Journal of Financial Compliance

First Published June 2017 Latest Issue June 2021

Journal of Financial Compliance is the major new journal publishing in-depth, peer-reviewed articles and case studies on how financial institutions can ensure the implementation of, and adherence to, regulatory requirements and effectively manage compliance and legal risk.... read more

Guided by its expert Editor and a distinguished Editorial Board, each quarterly issue publishes in-depth articles and case studies on new thinking and best practice in financial compliance at banks, asset management companies, insurance companies, broker-dealers, credit unions, building societies and other financial institutions.

Editorial Board

Journal of Financial Compliance is guided by an expert Editorial Board who guide the journal's content and peer-review every article submitted for publication to ensure they are practical, authoritative and relevant:


  • Mario J. DiFiore, Assistant Dean and Instructor, Finance and Business Economics Faculty, Gabelli School of Business and Co-Director, Corporate Compliance Institute, Fordham University

Editorial Board

  • Karen M. Aavik, Chief Compliance Officer, Stratos Wealth Partners
  • Nikhil Aggarwal, Managing Director, Promontory Financial Group, an IBM Company
  • Daniel R. Alonso, Partner, Buckley
  • Toby Billington, Chief Controls Officer, Global Banking, HSBC Global Banking and Markets
  • Carole Bovard, First Vice President, Compliance, OCC (Options Clearing Corporation)
  • Mark Carberry, Executive Director, Compliance, JP Morgan
  • N.K. Chidambaran Phd, Associate Professor of Finance and Business Economics, Gabelli School of Business, Fordham University
  • Catherine Choe, Founder, TFL Compass
  • Stephen Cohen, Partner, Sidley Austin
  • Kimon De Ridder, Group Chief Compliance Officer, RSA
  • Duncan DeVilleā€Ž, SVP, Global Head of Financial Crimes Compliance, Western Union
  • James Downing, Global Chief Compliance Officer, Aon Hewitt Global Investments
  • Ann E. Drew, Legal Director, Corporate Compliance, WEX
  • Steven M. Felsenthal, General Counsel and Chief Compliance Officer, Millburn Ridgefield
  • Chad Giussani, Head, Operations, FM Compliance, Standard Chartered Bank
  • Jan-Gerrit Iken, Managing Director, Global Head of Financial Crime, AML and Sanctions, Commerzbank
  • Susan Light, Partner, Katten Muchin Rosenman
  • Joseph M. McGill, Partner and Chief Compliance Officer, Lord Abbett
  • Carlo Milia, Head of Market Abuse Investigation Office, CONSOB
  • Daniel Nathan, Partner, Orrick
  • Philip Read, Regulatory and Controls Specialist, Management Assurance, National Australia Bank
  • James Ross, Head of Regulatory Developments EMEA and APAC, Columbia Threadneedle Investments
  • Tina Stinson-DaCruz EdD, Assistant Vice President, Federal Reserve Bank of New York
  • Steven D. Trigili, Chief Compliance Officer, Garden State Securities
  • Greg Triguba, Principal, Compliance Integrity Solutions
  • Andy Villareal, Chief Compliance Officer/SVP, MoneyGram
  • Kurt Wachholz, Executive Consultant, National Regulatory Services
  • Nicholas Walmsley, Co-Director, Cambridge International Symposium on Economic Crime
  • Pamela Ziermann, former SVP, Compliance, Dougherty Financial Group