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Carlo di Florio

Lecturer; Chief Risk Officer and Head of Strategy, Financial Industry Regulatory Authority (FINRA)

Carlo di Florio is responsible for Strategic Planning, Emerging Risks & Regulatory Issues, Enterprise Risk Management, Operational Risk and Quality Management. These functions support the Financial Industry Regulatory Authority's (FINRA's) mission of investor protection and market integrity by teaming across the organization to define and align strategy, foster innovation and ongoing improvement, monitor emerging risks and regulatory issues, promote enterprise risk management and support quality management. Di Florio also serves on the Executive Committee of the Board of Governors of the Risk Management Association in New York, and he teaches Strategic Risk Management at Columbia University’s Master’s program in Enterprise Risk Management.

Prior to joining FINRA, di Florio served as the Director of the SEC's Office of Compliance Inspections and Examinations, recruited to the SEC in 2010 to help reinvigorate the agency’s exam program following the financial crisis. In that role, he oversaw a team of 900+ examiners across the country in the SEC's nationwide examination programs for investment advisers, investment companies, hedge funds, private equity firms, broker-dealers, securities markets, credit rating agencies, and clearing agencies. At the SEC, di Florio led a transformation to a risk-based exam program, coordinated with regulatory partners nationally and internationally, regularly represented the SEC at media and conference events and testified before committees of both the United States Senate and the House of Representatives regarding regulatory strategy, risk and performance.

Before joining the SEC in 2010, di Florio was a partner with PricewaterhouseCoopers in its Financial Services Risk & Regulatory Practice in New York, advising financial services clients across banking, capital markets, asset management and insurance industries globally. He is widely published, a frequent conference speaker and has participated in numerous standard-setting initiatives. Di Florio was named by the National Association of Corporate Directors as one of the 100 Most Influential Leaders in Corporate Governance and by The National Law Journal as one of the Top 50 Trailblazers & Pioneers in Governance, Risk Management, and Compliance.

Education

  • LL.M., Georgetown University Law Center
  • J.D., Penn State University
  • B.A., Tulane University