Regulatory Compliance Association Reviews

Faculty of Senior Fellows & Guest Lecturers

REGULATORS

John Buretta, JD, Principal Deputy Assistant Attorney General, U.S. DOJ**
Roel Campos, JD, Commissioner, SEC**
Paul Atkins, JD, Commissioner SEC**
Luis Aguilar, JD, LLM, Commissioner, SEC**
Barton Chilton, Commissioner, CFTC**
Troy Paredes, JD, Commissioner, SEC**
Daniel Roth, JD, CEO & President, NFA
Judge Barrington Parker, US Court of Appeals Second Circuit
Andrew Donohue, JD, Chief of Staff, SEC*
Daniel Driscoll, CPA, COO, NFA
Aitan Goelman, JD, Director, Division of Enforcement, CFTC
Stephen Luparello, JD, Director of Trading and Markets Division, SEC*
Carmen Ortiz, JD, US Attorney, District of Mass., US DOJ
Tim O’Brien, Supervisory Special Agent, FBI
Andrew Bowden, JD, Director, OCIE, SEC**
George Canellos, JD, Director of Enforcement, SEC**
Norman Champ, JD, Director of IM, SEC**
Andrew Calamari, JD, Regional Director, SEC
Michael Osnato, JD, Chief of Complex Financial Instruments, Enforcement, SEC*
Patricia Cushing, CPA, Director, Compliance NFA
Carlo di Florio, JD, CRO, Head of Strategy, FINRA
Ken Joseph, JD, Associate Director, IA/IC Exam Program, SEC*
Jonathan Kay, JD, Regional Director – NY, DOL
Matt Queler, JD, Assistant Chief – FCPA Unit, US DOJ
Regina Thoele, SVP of Compliance, NFA
Elcin Yildirim, PhD. Assistant Director – Head of Quantitative Analytics Unit, SEC*
Jennifer Duggins, Co-Head Private Funds Unit, OCIE, SEC*
Christopher Hetner, Cybersecurity Lead, OCIE, SEC*
Stephen McCaffrey, JD, Chairman, Plan Sponsor Counsel of America
James Jones, BOD, CFA Institute
David Blass, JD, GC, Investment Company Institute
Kurt Schacht, JD, Managing Director, CFA Institute

 

LEADING LAW & CPA FIRMS

Robert Van Grover, JD, Partner, Seward & Kissel
Christopher Wells, JD, Partner, Proskauer
Matthew Eisenberg, JD, Partner, Finn Dixon & Herling
George Mazin, JD, Partner, Dechert
Michael Cyran, CPA, Partner, EY
Natalie Deak-Jaros, CPA, Partner, EY
Alan Fish, CPA, Principal, EY
Christopher Mears, CPA, Partner, KPMG
Ralph Mittl, Principal, EY
Daniel New, CPA, Executive Director, EY
John Schneider, Partner, KPMG
John Buretta, JD, Partner, Cravath, Swaine & Moore
Robin Painter, JD, Partner, Proskauer
Mark Perlow, JD, Partner, Dechert
Patricia Poglinco, JD, Partner, Seward & Kissel
Anthony Conte, Principal, PwC
Kevin Bandoian, CPA, Partner, PwC
Michael Barnes, Senior Manager, EY
Dan Bender, Executive Director, EY
Michael Corcione, Director, PwC
Samer Ojjeh, Principal, EY
Scott Weisman, JD, Managing Director, PwC
John Brose, LLM, Partner, Seward & Kissel
Drew Chapman, LLM, Partner, King & Spalding
Michael Considine, JD, Partner, Seward & Kissel
Elliott Curzon, JD, Partner, Dechert
Andrew Fish, JD, Partner, LockeLord
Michael Gilbert, JD, Partner, Dechert
Ki Hong, JD, Partner, Skadden Arps
Richard Horowitz, JD, Partner, Dechert
Beth Kramer, JD, Partner., Chadbourne
Joe Morrissey, JD, Partner, Seward & Kissel
Timothy Mungovan, JD, Partner, Proskauer
Andrew Oringer, JD, Partner. Dechert
Bruce Paulsen, JD, Partner, Seward & Kissel
Michael Renetzky, JD, Partner, LockeLord
Michael Sherman, JD, Partner, Dechert
Ingrid Pierce, LLB, Partner, Walkers Global
Rudy Escalante, CEO, ICSA Software North America
Catherine Smith, JD, GC, Guidepoint Global
Jack Curran, Senior Adviser to DOD – Cyber Operations, NES
JP Curran, JD, Head of Operations – Cybersecurity, NES
Bill Johnson, JD, Partner, King & Spalding LLP
Mark Whatley, JD, Partner, Sidley Austin
Nathan Greene, JD, Partner, Shearman & Sterling
Thomas Biolsi, Principal, PwC – Emeritus

 

** Former
* Guest Lecturer

TOP INSTITUTIONAL INVESTORS, ALTERNATIVE INVESTMENT AND ASSET MANAGEMENT FIRMS

Heather Traeger, JD, CCO & Compliance Counsel, TRST
David Warsoff, Executive Director, J.P. Morgan Alternative Asset Management
Eric Zielinski, CPA, Deputy CAO – Equities, UBS Global Asset Management
Alyssa Albertelli, JD, CCO, State Street Global Advisors
Doug Anderson, JD, CCO, Canyon Partners
Timothy Barefield, COO, Pershing Square
Lawrence Block, JD, CCO, Island Capital Group
James Capezzuto, JD, CCO, Oppenheimer Asset Management Inc.
Karen Clark, Managing Director, BlackRock
Glyn Clark, CCO, Permal
Michael Cohn, JD, CCO & Deputy GC, Fortress Investments
Brian Coogan, Director, Asset Management Compliance, Fidelity Investments
Michael Donahoe, CPA, CCO, PNC Capital Advisors
Adam Gehrie, JD, GC & CCO, Gresham Investment Management
Catherine Courtney-Gordon, JD, AGC, E-Trade Financial
Danielle Green, JD, CCO, HarbourVest Partners
Richard Gruber, JD, CCO, Visium Asset Management
Brian Guzman, JD, Partner & GC, Indus Capital Partners
Beth Haddock, JD, Head of Institutional Compliance, Guggenheim
James Hartmann, CCO, Arena
John Hornbostel, JD, AGC, Franklin Templeton Investments
Julie Jack, JD, CCO, Chilton Investment Company
Bruce Kahne, JD, Partner, GC & CCO EnTrust
Brendan Kalb, JD, GC, AQR
Bruce Karpati, JD, Global CCO & Counsel, KKR
Barbara Keller, JD, Deputy CCO, Nomura Asset Management
Tanya Kerrigan, JD, GC & CCO, Boston Advisors
Tom Larkin, CPA, CFO, Avenue Capital
Gerald Lins, JD, GC, Voya Investment Management
Simon Lorne, JD, Vice Chairman & CLO, Millennium Partners
Dan Margolis, JD, GC, Ellington
Nir Messafi, CPA, CFO & Managing Director, Fortress-Liquid Markets
Helane Morrison, JD, GC & CCO, Hall Capital
Michael Neus, JD, Managing Partner & GC, Perry Capital
Kevin O’Connor, JD, GC, Point 72 Asset Management
John Oliva, CCO, Highbridge Capital Management
Charles Park, JD, CCO, BlackRock
Mark Polemeni, JD, CCO & AGC, Citadel, LLC
Scott Pomfret, JD, CCO & Regulatory Counsel, Highfields Capital
Willliam Ryan, JD, Chief Fiduciary Officer, Evercore
Adam Schreck, JD, GC, Discovery Capital Management
Martin Schwartz, JD, CCO, Millennium Management
Michael Sheehy, JD, CCO, Core Commodity Management
Scott Sherman, JD, Tiger Management
Matthew Siano, JD, GC, Two Sigma Investments
John Stelley, Director, BlackRock
Brian Traficante, JD, SVP & Investment Counsel, York Capital
Forest Wolfe, JD, GC, Angelo, Gordon & Co
Marty Wolin, JD, CCO, MFS Investment Management