Christopher J. Mahon is a Senior Vice President and the Head of Broker-Dealer Legal and Regulatory at AllianceBernstein, where he manages those functions globally.
Chris serves on the Compliance Advisory Committee of the U.S. Financial Industry Regulatory Authority. He is the former co-chair and is a current member of the Securities Industry and Financial Market Association's Compliance and Policy Committee. He also serves on SIFMA's Compliance and Legal Executive Committee and its Institutional and International subcommittees.
Chris has participated on a variety of trade association, regulator-sponsored and other industry panels. He has presented on supervision and internal controls; risk identification, assessment and mitigation; compliance department functions and processes; how to address conflicts of interest; and how to respond to regulatory inquiries and examinations. Chris also has spoken on a wide variety of substantive topics, focusing on issues relating to institutional sales, trading, research, and other capital market activities in the US and internationally, as well as proposed legislation and regulation in these areas.
Previously, Chris was a managing director, global head of equities compliance and regional head of investment banking compliance at Deutsche Bank. He also was the deputy general counsel and director of compliance at Wit SoundView and the director of compliance and counsel at D.E. Shaw & Co. Chris served as a senior counsel in the U.S. Securities and Exchange Commission's Division of Enforcement and was an associate in litigation and antitrust at a New York law firm.
Chris is a graduate of New York University School of Law and Rutgers College.