FacultyFaculty/Author Profile
Kevin C. Piccoli

Kevin C. Piccoli

U.S. Commodity Futures Trading Commission
Deputy Director, Examinations, Division of Swap Dealer and Intermediary Oversight
New York, NY, USA

Kevin is currently Deputy Director of the Examinations Branch of the Division of Swap Dealer and Intermediary Oversight at the Commodity Futures Trading Commission.  In this role, Kevin is responsible for examination oversight of all futures and swaps intermediaries and the self-regulatory organizations registered with the CFTC. In addition, Kevin is a member of the customer protection rule team and participates in a number of areas, helping to establish the rules and regulations that govern the financial institutions conducting business in these markets, overseeing the self-regulatory organizations that oversee the markets for these products and assisting in the implementation of certain aspects of the recently legislated Dodd-Frank Act on swap dealers and swap market participants.

Kevin joined Tradeweb in 2009 as its Chief Financial Officer.  In his capacity as CFO, Kevin was responsible for Tradeweb’s financial strategy and day-to-day financial and accounting operations. Kevin oversaw the Company’s global finance, treasury, tax, management reporting and regulatory reporting functions.  He reported to the CEO and served on the Company’s Executive Committee. 

Kevin joined The Bank of New York Mellon Corporation in May 2001 as the Chief Auditor of the Company responsible for the global audit function.  He was later promoted to Executive Vice President where he was responsible for managing the Corporate Consulting Group which assisted the businesses enhance revenue, assess strategy and reengineer process flows.  The group consists of former senior level consultants and business people who understand the Company’s business and that of its’ competitors. Kevin was a member of the Company’s Operating Committee, Senior Risk Oversight Committee, Capital Allocation Committee, and sensitive Issues Oversight Committee.

Prior to the Bank, Kevin was the Managing Director and Chief Financial Officer of Cantor Fitzgerald, responsible for the Firm’s Global Accounting, Regulatory, Management Reporting and Treasury functions. Kevin was also the Senior Vice President and Chief Financial Officer of eSpeed, Inc. (a majority owned NASDAQ listed subsidiary of Cantor), where, along with the above responsibilities, he was also responsible for Investor Relations.  Prior to joining both Cantor and eSpeed in the fall of 1999, Kevin was a Managing Director and Chief Financial Officer at Greenwich Capital Holdings, Inc., a subsidiary of National Westminster Bank.  Kevin’s responsibilities included the global accounting, tax, and regulatory reporting areas of the Firm. Prior to joining Greenwich in April 1992, Kevin was an audit partner at Coopers & Lybrand and Co-Head of the Firm’s Derivative Products Practice. He received a BS degree in Accounting from Fairfield University in 1979.  Kevin has written numerous books and periodicals on the financial service industry covering topics including risk, accounting issues, and AICPA Accounting and Audit Guides.  Kevin is a NASD Series 24 FinOp, was a member of the AICPA Accounting Standards Executive Committee Financial Instruments Task Force, AICPA Stock Brokerage Committee, and the SIA Risk Assessment Committee.  He is also on the Fairfield University Dolan School of Business Executive Committee and the Boy Scouts of America Northern NJ Council Executive Committee.

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