finra

Carlo V. di Florio


Chief Risk Officer & Head of Strategy

 

Carlo V. di FlorioCarlo di Florio joined FINRA in June 2013 as Chief Risk Officer and Head of Strategy. In this capacity, he oversees FINRA's offices of Risk, Emerging Regulatory Issues, Enterprise Risk Management and Strategy.

 

The Risk & Strategy team works closely with senior management, the board and regulatory programs across the organization to assess the most significant risks to investors and markets. Risk & Strategy then works with its regulatory partners to deploy risk-focused strategies to address those risks, including through examinations, monitoring, enforcement, transparency and policy initiatives. Mr. di Florio also leads FINRA's Enterprise Risk Management program to enhance FINRA's internal governance, risk management, quality control and compliance. He is also responsible for overseeing the development and monitoring of FINRA's strategy.

 

Previously, 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. These programs serve to prevent fraud, promote compliance, monitor risk and inform policy. Before joining the SEC in 2010, Mr. di Florio was a partner in the Financial Services Regulatory Practice of PricewaterhouseCoopers in New York.

 

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. He has been recognized by the National Association of Corporate Directors as one of the 100 Most Influential Leaders in Corporate Governance, and by Worth Magazine business survey as one of the 100 Most Powerful People in Finance.