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. In this capacity, he leads the Office of Risk & Strategy, which includes Strategic Planning, Emerging Regulatory Issues, Enterprise Risk Management and Operational Risk. These functions support FINRA’s mission of investor protection and market integrity by teaming across the organization to define and align strategy, monitor emerging regulatory issues, promote enterprise risk management and support ongoing program improvement and quality assurance.

Prior to joining FINRA, Mr. di Florio served as the Director of the SEC's Office of Compliance Inspections and Examinations. In that role, he oversaw the SEC's nationwide examination programs for, among other entities, investment advisers, broker-dealers, mutual funds, securities markets and clearing agencies. Before joining the SEC in 2010, Mr. di Florio was a partner in the Financial Services Risk & Regulatory Practice of PricewaterhouseCoopers, advising financial services clients across banking, capital markets, asset management and insurance.

Mr. di Florio received his Master of Laws with distinction from Georgetown University Law Center, his J.D. from Penn State University and his bachelor's degree from Tulane University.

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
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
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