Partner & Global Chief Services Officer
- Company:ACA Compliance Group
- Short Bio:Carlo di Florio is the Global Chief Services Officer of ACA Compliance Group. At ACA, Carlo is responsible for defining and executing the vision for ACA’s governance, risk, and compliance (“GRC”) service offerings. His responsibilities include oversight, management, and strategic growth of ACA’s global regulatory compliance, cybersecurity and risk, AML and financial crimes, and performance practices. Prior to joining ACA, Carlo worked for over 25 years in executive leadership roles at PricewaterhouseCoopers (PwC), where he was a Partner in the Financial Services Risk & Regulatory Practice; the Securities and Exchange Commission (SEC), where he was the Director of the Office of Compliance Inspections and Examinations (OCIE); and the Financial Industry Regulatory Authority (FINRA), where he was the Chief Risk & Strategy Officer. In these roles, Carlo led the design and implementation of large-scale regulatory compliance improvements, technology and data analytics transformations, and risk management program enhancements. Carlo also serves as Co-President and Governor of the Risk Management Association (RMA) NY Chapter and as Adjunct Professor at Columbia University, Master of Science program in Enterprise Risk Management. Carlo has been named one of the 100 Most Influential Leaders in Corporate Governance by the Association of Corporate Directors; one of the Top Trailblazers & Pioneers in Governance, Risk & Compliance by The National Law Journal; and one of the Most Influential People in Finance by Worth Magazine.
February 18, 2021, 13:00 PM
SESSION 1: Risk Management
SESSION 2: SEC & FINRA Exam Priorities