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Editorial Board: Journal of Financial Compliance

First Published June 2017 Latest Issue April 2024

Journal of Financial Compliance is the major journal publishing in-depth, peer-reviewed articles, applied research 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

Subjects covered include: Integrated compliance, risk and governance systems and controls; compliance risk assessment; updating written supervisory procedures; capital, liquidity and funding regulation; enforcement investigations, actions and sanctions; compliance and ethics culture; the fintech sector and its impact on regulation and compliance; AML; suspicious activity monitoring and reporting; conducting compliance reviews, audits and investigations; compliance technologies; data privacy and data sharing; insider trading and market abuse; conduct risk, codes of conduct; regulatory rulemaking; record keeping requirements; cross border regulation; preparing for and managing regulatory investigations and examinations; fraud prevention, monitoring and detection; anti-corruption and bribery ; building, recruiting, training and managing a compliance department; effective programmes for whistleblowers.

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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:

Editor

  • Mario J. DiFiore, PhD, Senior Assistant Dean and Director, Student Investment Funds and Finance Applied Learning, Gabelli School of Business, Fordham University

Editorial Board

  • Karen M. Aavik, Director of Data Privacy, Bank OZK
  • Nikhil Aggarwal, Managing Director, US Anti-Money Laundering (AML) Analytics, Deloitte
  • Daniel R. Alonso, Partner, Buckley
  • 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 Officer, Insurance, Bupa
  • Duncan DeVille‎, Head of Compliance, Americas, Global Head of Financial Crimes Compliance, EVP, Crypto.com
  • James Downing, Senior Principal Consultant, ACA Group
  • Ann E. Drew, Legal Director, Corporate Compliance, WEX
  • Steven M. Felsenthal, General Counsel and Chief Compliance Officer, Millburn Ridgefield
  • Kevin Gleason, Head of Registered Funds Compliance, Chief Compliance Officer MainStay Funds and Index IQ ETFs, New York Life Investments
  • Louise Gowland, Senior Vice President and Head of UK Legal Entity Compliance Oversight, Northern Trust
  • Jan-Gerrit Iken, Global Head of Monitoring & Screening, Deutsche Bank
  • Yasmine Li, EMEA Head of Surveillance, Macquarie Group
  • 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, Senior Regulatory Advisor, Binance
  • 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, Managing Director, Bates Group
  • Pamela Ziermann, former SVP, Compliance, Dougherty Financial Group