On Oct. 18, 2011, Compliance Week and OpenPages presented an editorial roundtable at the Four Seasons in New York. The focus of the roundtable, which was moderated by Compliance Week Editor Matt Kelly, was on managing Dodd-Frank compliance.

Gordon Burnes

Vice President, MarketingOpenPages

 

Gordon Burnes, vice president, marketing at OpenPages, is responsible for leading the company's marketing and business development efforts to help drive OpenPages' revenue growth. Burnes brings to OpenPages twenty years of experience working with high-growth companies. Burnes comes to OpenPages from McNamee Lawrence, a boutique investment bank focused on the information technology sector, where he provided strategic financial advisory services to mid-market software companies. Prior to McNamee Lawrence, Burnes held a variety of marketing and business development roles in emerging technology companies. As vice president of marketing and business development at Wheelhouse, Burnes managed corporate and product marketing as well as ISV alliances and technology partnerships.

David Camputo

Senior Vice President, Chief Audit ExecutiveEndurance Specialty Holdings

 

David Camputo is a senior vice president and chief audit executive for Endurance Specialty Holdings. Camputo has global responsibility for both the internal audit and Sarbanes-Oxley functions for Endurance. He is also a member of the company's risk-management committee and disclosure committee. Endurance Specialty Holdings (Endurance Holdings) is a holding company. Through its operating subsidiaries based in Bermuda, the United States, and the United Kingdom, the company underwrites specialty lines of personal and commercial property and casualty insurance and reinsurance on a global basis. The company's portfolio of specialty lines of business is organized into two business segments: Insurance and Reinsurance.

Carlo di Florio

Director, Office of Compliance Inspections and ExaminationsSecurities and Exchange Commission

 

Carlo di Florio became the director of the office of compliance inspections and examinations for the Securities and Exchange Commission on Jan. 25, 2010. Prior to joining the Commission, di Florio was a partner in the financial services regulatory practice at PricewaterhouseCoopers (PwC). While in private practice, di Florio was one of PwC's national leaders in corporate governance, enterprise risk management, and regulatory compliance and ethics. di Florio has played a leading role in setting new industry standards, including the COSO Enterprise Risk Management standard and the Open Compliance and Ethics GuidelinesHe has extensive experience assessing the effectiveness of regulatory compliance, risk management, and corporate governance programs. He has also led numerous fraud and corruption investigations nationally and internationally.

Paula Dominick

Global Compliance ExecutiveBank of America

 

Paula Dominick is global compliance executive for Bank of America. She is responsible for leading and overseeing global compliance activities for the company. She most recently served as the compliance executive for Global Banking and Markets and Global Commercial Banking, where she was responsible for overseeing all compliance activities in those businesses. She also oversaw international compliance for Asia, EMEA, Canada, and Latin America. Dominick joined the company in 2005 to run the debt research division of Banc of America Securities. In 2006, she was appointed to oversee both debt and equity research, and in 2008, she was named chief operating officer for the global markets group. In February 2009, she was named head of compliance and operational risk for GBAM.

Jess Fardella

Compliance OfficerGoldman Sachs

 

Jess Fardella is responsible for the global development and oversight of the compliance testing group and for overseeing global coordination of audits and inquiries in the compliance division. The compliance testing group examines adherence to compliance policy, procedures, principles, and rules in various divisions. Fardella joined Goldman Sachs as a manager director in 2006. Prior to joining the firm, he worked at Credit Suisse First Boston, where he was a managing director responsible for strategic initiatives in legal and compliance. Prior to that, he was the auditor general for the New York City Department of Education.

Noreen Fierro

Corporate CounselPrudential Financial

 

Noreen Fierro, corporate counsel in the enterprise regulatory law group of Prudential Financial, is responsible for providing legal advice on a variety of regulatory topics that impact the global organization, and she acts as primary counsel for anti-corruption regulations, including the Foreign Corrupt Practices Act. In addition to her law department responsibilities, Fierro maintains supervisory oversight responsibilities for the anti-money laundering compliance unit. Prior to transitioning to the law department, Fierro served as the AML/OFAC/FCPA compliance officer for Prudential Financial. Prior to joining Prudential Financial in 2006, she worked as a senior manager for Deloitte Financial Advisory Services, in their forensic and dispute services, anti-money laundering group.

Scott Gilbert

Senior Vice President, Chief Risk & Compliance OfficerMarsh & McLennan Cos.

 

Scott Gilbert is a senior vice president and the chief risk and compliance officer of Marsh & McLennan Companies. He reports to CEO Brian Duperreault and the compliance and audit committees of the company's board of directors. He is a member of the executive committee. Gilbert joined Marsh & McLennan Companies in January 2005 from the General Electric Company, where he was chief compliance counsel. Prior to joining GE in 1992, Gilbert served for five and a half years as an assistant U.S. attorney in the Southern District of New York, where he conducted a broad range of prosecutions, and served on the Securities and Commodities Fraud Task Force investigating criminal violations of federal securities laws.

Sean Gray

Senior Vice PresidentPNC Financial Services Group

 

Sean Gray presently serves as senior vice president and head of asset management and broker-dealer compliance for PNC Financial Services Group where he has overall compliance responsibilities for PNC's wealth management/trust, institutional investments, family office, registered investment adviser, mutual fund and broker-dealer businesses. Additionally, Gray has enterprise-wide fiduciary risk management responsibilities across the entire PNC platform. The market value of fiduciary assets administered by these PNC businesses approximates $180 billion. Prior to joining PNC in February 2009, Gray held various senior-level risk/compliance roles with Merrill Lynch since 1998.

Michael Kanef

Chief Regulatory and Compliance OfficerMoody's Corp.

 

Michael Kanef is the chief regulatory and compliance officer for Moody's Corp. In this role, he is responsible for Moody's global, regulatory outreach, and compliance efforts. Kanef joined Moody's as a senior analyst in the term asset-backed securities team in 1997 after working as an associate in the asset-backed finance group at Skadden, Arps, Slate, Meagher & Flam. He was appointed co-head of the U.S. term asset-backed and asset-backed commercial paper rating teams in June 2000 and promoted to group managing director of the U.S. asset finance group in June 2004.

Dan Kosowsky

Managing Director, Director of ComplianceMorgan Stanley Smith Barney

 

Dan Kosowsky is a managing director and is the director of compliance for Morgan Stanley Smith Barney. Prior to joining the compliance department in December 2010, Kosowsky held a number of senior positions in the Morgan Stanley legal department, most recently serving as the head of the advisory legal group for Morgan Stanley Smith Barney. Before joining Morgan Stanley in October 2004, Kosowsky practiced corporate law for seven years at Cravath, Swaine & Moore, specializing in securities and M&A transactions.

Jessica Maldonado

Director of Enterprise Risk ManagementCenterline Capital Group

 

Jessica Maldonado is the director of enterprise risk management at Centerline Capital Group, a subsidiary of Centerline Holding Company. Maldonado oversees enterprise-wide risk monitoring, Sarbanes-Oxley (SOX) compliance/internal audit and insurance functions within Centerline. As head of the enterprise risk manage¬ment group, she focuses on managing corporate insurance and establishing policies and standards within all Centerline business units for the man-agement of third-party insurance coverage for Centerline assets and activities. Maldonado is responsible for achieving strategic objectives, ensuring effective enterprise risk management for Centerline, supervising and directing insurance management, including identifying, measuring, and managing hazard/insurable, operational, financial, and business risk. Maldonado joined Center¬line in 2007, after 15 years with Marsh.

Saverio Mirarchi

SVP of Global Compliance & Chief Compliance and Ethics OfficerNorthern Trust Chicago

 

Saverio Mirarchi is the senior vice president of global compliance and chief compliance & ethics officer at Northern Trust-Chicago. Prior to joining Northern Trust in 2008, Saverio served as vice president and head of U.S. Compliance for Canadian Imperial Bank of Commerce in New York. Previously, he served as managing director and chief compliance officer for The Bank of New York in New York. Mirarchi's prior position was that of vice president, international compliance and money laundering prevention, with American Express Company.

Joseph Spinelli

Chief Compliance OfficerBBVA Securities, Inc.

 

Joseph Spinelli is chief compliance officer for BBVA Securities, Inc.

Giuseppe Tritto

Head of Anti-Fraud North AmericaBNP Paribas

 

Giuseppe Tritto is the head of anti-fraud north america BNP Paribas based in New York. Tritto during his tenure at BNP Paribas provided his services with the compliance department as manager for the AML and research and development teams. Prior to his employment with BNP Paribas, Tritto worked for UBS within the AML department. Before moving to the United States, Tritto was a special agent for the Italian Treasury Department for fifteen years. As a special agent, Tritto was assigned to sensitive areas such as organized crime, financial crimes, and narcotics. Eventually he was appointed as one of the assistant directors for the money laundering department with Interpol Service in Rome.