Keynote Panel Announced for ACA's 2022 Annual Conference
Navigating Uncertainty: Risk Management and the Regulatory Agenda
Compliance, risk, performance, and technology leadership are constantly challenged to keep pace with the ever-evolving regulatory changes while finding their way through the pressures of geopolitical threats, economic crises, and third-party risks.
This is the moment. New regulatory leadership is setting new priorities and reinforcing others. In the U.S., the Securities and Exchange Commission (SEC) has signaled a clear shift in focus and prioritization. Recent commentary from SEC Chair Gary Gensler indicates that the agency will likely push forward with an aggressive rulemaking agenda in 2022.
This is the time to adapt. Governance, Risk and Compliance (GRC) approaches are at an inflection point. As business leaders navigate a host of uncertainties – from pandemics to wars to climate crises to regulatory changes – GRC has evolved from purely being a risk management discipline to one that powers business performance.
Join us April 26 – 28 for our virtual conference where we’ll explore what regulatory priorities, emerging risks, and industry trends await compliance and risk professionals and how to navigate the changes ahead while moving forward with confidence.
Keynote Panel Announcement
We are pleased to announce our panel of esteemed speakers for our keynote regulatory session! Our panel is comprised of current and former regulators, compliance practitioners and outside counsel, who will explore regulatory and examination priorities, as well as effective compliance practices and enforcement considerations in 2022 and beyond.
Natasha Vij Greiner
National Associate Director for the Investment Adviser/Investment Company Examination Program
Securities and Exchange Commission Division of Examinations
Natasha Vij Greiner is the National Associate Director for the Investment Adviser/Investment Company Examination Program and Associate Director for the Washington, DC Investment Adviser/Investment Company Examination Program within the SEC’s Division of Examinations.
Prior to these roles, she was the Acting Chief Counsel and an Assistant Chief Counsel in the SEC’s Division of Trading and Markets’ Office of Chief Counsel, where she provided legal and policy advice on matters affecting various market participants, including broker-dealers and self-regulatory organizations, and the overall operation of the securities markets. Prior to joining the Division of Trading and Markets in 2012, Ms. Greiner worked in the SEC’s Division of Enforcement for eight years. While in the Division of Enforcement, Ms. Greiner was the lead attorney in various enforcement matters involving complex institutional and retail trading, market manipulation, municipal bonds, accounting fraud, and insider trading. Prior to her time in the Division of Enforcement, Ms. Greiner was a lead examiner in the SEC’s Office of Compliance Inspections and Examinations, where she led and conducted targeted examinations of broker-dealers on issues such as best execution, anti-money laundering, mutual fund sales, structured finance and analyst conflicts.
Ms. Greiner earned a J.D. from The Catholic University of America, Columbus School of Law, and a B.S., cum laude, from James Madison University.
Debevoise & Plimpton, LLP
Kristin Snyder is a litigation partner and member of the firm’s White Collar & Regulatory Defense Group. Her practice focuses on securities-related regulatory and enforcement matters, particularly for private investment firms and other asset managers.
Prior to her role at Debevoise, Ms. Snyder served at the SEC for 18 years, most recently serving as the Deputy Director of the Division of Examinations resident in its San Francisco Regional Office. In her role, she spearheaded the development of examination priorities for the national and international examination programs covering a spectrum of SEC registrants including investment advisers, investment companies, and broker-dealers.
At the Commission, she also served as National Associate Director of the Investment Adviser/Investment Company (IAIC) Examination Program, and as the San Francisco Regional Office’s Associate Director for Examinations. In these roles and her Deputy Director role, she oversaw more than 1,000 employees in the Division of Examinations, directed the SEC’s Private Funds Unit, a specialized group within the exam program that has conducted hundreds of examinations of many of the largest and most complex private funds managers in the world, and managed referrals of examination findings from the Division of Examinations to the Division of Enforcement. She also led the SEC’s National Examination Program Office for the IAIC Examination Program, which develops priorities and initiatives covering investment advisers, including private fund managers, and investment companies.
Before her position at the Division of Examinations, Ms. Snyder served for eight years in the SEC’s Division of Enforcement as a branch chief and as senior counsel in the SEC’s San Francisco office, and prior to that was a litigation associate at two major law firms.
Ms. Snyder received her J.D. with honors from the University of California, Hastings College of the Law in 1996 and her B.A. from the University of California, Davis in 1992.
Global Chief Compliance Officer
Bruce Karpati joined KKR in 2014 and serves as the Firm's Global Chief Compliance Officer and Counsel.
Prior to joining KKR, he was the Chief Compliance Officer of Prudential Investments, the mutual fund and distribution business of Prudential Financial. Mr. Karpati was previously the national chief of the SEC’s asset management unit which he co-founded. In this role, he supervised a staff of 75 attorneys, industry experts, and other professionals. Mr. Karpati joined the SEC as a staff attorney in 2000, was promoted to branch chief in 2002, assistant regional director in 2005, and Co-Chief of the SEC's Asset Management Unit in 2010. In 2007, he founded the SEC’s hedge fund working group, a cross-office initiative to combat securities fraud in the hedge fund industry. Mr. Karpati also serves as an adjunct professor at Fordham University Law School. He began his career in private practice at Dechert LLP.
Mr. Karpati earned his JD cum laude from the University at Buffalo Law School, and his Bachelor’s degree cum laude in International Relations from Tufts University.
Carlo di Florio
Global Chief Services Officer
Carlo di Florio is the Global Chief Services Officer of ACA Compliance Group. At ACA, Carlo is responsible for defining and executing the vision for ACA’s governance, risk, and compliance (GRC) service offerings.
Prior to joining ACA, Carlo worked for over 25 years in executive leadership roles at PricewaterhouseCoopers (PwC), where he was a Partner in the Financial Services Risk & Regulatory Practice; the SEC, where he was the Director of the Office of Compliance Inspections and Examinations (OCIE); and the Financial Industry Regulatory Authority (FINRA), where he was the Chief Risk & Strategy Officer. In these roles, Carlo led the design and implementation of large-scale regulatory compliance improvements, technology and data analytics transformations, and risk management program enhancements.
Carlo also serves as Co-President and Governor of the Risk Management Association (RMA) NY Chapter and as Adjunct Professor at Columbia University, Master of Science program in Enterprise Risk Management. Carlo has been named one of the 100 Most Influential Leaders in Corporate Governance by the Association of Corporate Directors; one of the Top Trailblazers & Pioneers in Governance, Risk & Compliance by The National Law Journal; and one of the Most Influential People in Finance by Worth Magazine.