FacultyFaculty/Author Profile
Christopher J. Mahon

Christopher J. Mahon

AllianceBernstein L.P.
Senior Vice President
New York, NY, USA


Christopher J. Mahon is a senior vice president and head of broker-dealer legal and regulatory at AllianceBernstein, where he manages the legal and compliance functions globally for its institutional broker, Bernstein.  He serves on AB’s enterprise-wide ethics, conflicts, and internal control committees as well as other of its risk, governance and policy committees.

Chris is a member of the Compliance Advisory Committee of the U.S. Financial Industry Regulatory Authority, FINRA.  He is a former member of FINRA’s National Adjudicatory Council, serving as its Vice Chair in 2015, and of FINRA’s International Advisory Working Group.  Chris is a current member and former co-chair of the Securities Industry and Financial Markets Association’s Compliance and Regulatory Policy Committee.  He is an executive officer of SIFMA’s Compliance and Legal Society, contributing to the group’s various policy, advocacy and educational efforts.  He chaired C&L’s annual conference in 2016.

Chris is an adjunct faculty member at Fordham University’s Gabelli School of Business, where he teaches a course on financial regulation, compliance, and risk management.

Previously, Chris was a managing director at Deutsche Bank, where he held senior global and regional roles in equities and investment banking compliance.  He also was 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 Cadwalader.  Chris is a graduate of New York University School of Law, where he was an editor-in-chief of the Annual Survey of American Law.  He is a summa cum laude graduate of Rutgers College.
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