FacultyFaculty/Author Profile
Carlo V. di Florio

Carlo V. di Florio

FINRA
Chief Risk Officer and Head of Strategy
New York, NY, USA


Carlo di Florio joined FINRA in June 2013 as Chief Risk Officer and Head of Strategy. Carlo also serves on the Executive Committee of the Board of Governors of the Risk Management Association (RMA) in New York, and he teaches Strategic Risk Management at Columbia University in the Master’s Program for Enterprise Risk Management.

Prior to joining FINRA, Carlo served as the Director of the SEC's Office of Compliance Inspections and Examinations from 2010 through 2013.  In that role, he oversaw a team of 900+ examiners across the country in the SEC's nationwide examination programs for investment advisers, investment companies, hedge funds, private equity firms, broker-dealers, securities markets, credit rating agencies and clearing agencies. At the SEC, Carlo led a transformation to a risk based exam program, coordinated with regulatory partners nationally and internationally, regularly represented the SEC at media and conference events and testified before committees of both the United States Senate and the House of Representatives regarding regulatory strategy, risk and performance. 

Before joining the SEC in 2010, Carlo was a partner with PricewaterhouseCoopers in its Financial Services Risk & Regulatory Practice in New York, advising financial services clients across banking, capital markets, asset management and insurance industries globally.  In this capacity, Carlo helped clients: understand and address new regulatory requirements; implement tailored risk governance, risk management and compliance management programs; and undertake large scale investigations and regulatory remediation projects across a broad range of risk and regulatory topics.

Carlo received his Master of Laws (LL.M) in International and Comparative law with distinction from Georgetown University Law Center, his J.D. from Penn State University and his bachelor's degree in political economy from Tulane University. Carlo was named by the National Association of Corporate Directors as one of the 100 Most Influential Leaders in Corporate Governance, by Worth Magazine as one of the 100 Most Influential People in Finance and by The National Law Journal as one of the Top 50 Trailblazers & Pioneers in Governance, Risk Management and Compliance.

Carlo V. di Florio is associated with the following items:
Web Segment  Web Segment The Role of Data and Other Elements in Assessing Risk: A Regulatory Perspective - Financial Services Industry Regulatory Compliance Forum 2017, Monday, November 13, 2017
MP3 Audio  MP3 Audio The Role of Data and Other Elements in Assessing Risk: A Regulatory Perspective - The Role of Data and Other Elements in Assessing Risk: A Regulatory Perspective, Monday, November 13, 2017
Transcripts  Transcripts The Role of Data and Other Elements in Assessing Risk: A Regulatory Perspective - The Role of Data and Other Elements in Assessing Risk: A Regulatory Perspective, Monday, November 13, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg The Role of Data and Other Elements in Assessing Risk: A Regulatory Perspective - The Role of Data and Other Elements in Assessing Risk: A Regulatory Perspective, Monday, November 13, 2017
On-Demand Web Programs  On-Demand Web Programs Financial Services Industry Regulatory Compliance Forum 2017, Wednesday, November 15, 2017, New York, NY
Live Seminar  Live Seminar Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, New York, NY
Live Webcast  Live Webcast Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, New York, NY
PLI Grpcast-Live Web  PLI Grpcast-Live Web Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, Philadelphia, PA
Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, Pittsburgh, PA
Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, Nashville, TN
Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, Mechanicsburg, PA
Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, Cleveland, OH
Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, New Brunswick , NJ
Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, Indianapolis, IN
Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, Atlanta, GA
Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018, Columbus, OH
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