FacultyFaculty/Author Profile
Richard Konefal

Richard Konefal

Barclays Capital, Inc.
Managing Director, Markets Compliance
New York, NY, USA

Richard Konefal
Global Head of Equities and Distribution Compliance

Rich Joined Barclays in 2007 as the head of Equities and Prime Compliance for the Americas. He was the lead Equities Compliance officer in the Barclays-Lehman transaction. In 2012 was named the Global Head of Equities Compliance and in 2013 added coverage of Global Distribution. Recently Rich developed a Compliance program regarding Electronic Trading issues which is an industry leading initiative. During his tenure at the firm, he has worked on several large regulatory and control issues as well as publicly known transactions such as: SEC Reg-Sho emergency short sale provisions, US Flash Crash, Blackrock Divesture, Volcker Rule, Knight Trading Collapse. 

Rich has been a Compliance Professional for approximately 20 years. He began his career at a regional Broker Dealer as a Compliance Analyst covering general compliance issues. His next role was working for the American Stock Exchange as a Market Investigator where he focused on listed options and exchange traded funds, there he worked closely with the SEC and other SROs. He spent a considerable amount of time on the floor of the exchange and developed a strong understanding of options and derivative trading strategies. Following his time at the AMEX, Rich worked at Bank of America for approximately seven years eventually heading up Derivatives and Prime Brokerage Compliance.

Rich has 5 industry licenses and has been a member of several SIFMA committees and has participated as a panelist/speaker at industry events.


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