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Regulation and Compliance > Federal Regulation > SEC

Ex-SEC Exam Chief di Florio Joins ACA Compliance Group

By Melanie Waddell

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Carlo di Florio, former Securities and Exchange Commission and Financial Industry Regulatory Authority official, has joined ACA Compliance Group as global chief services officer.

In his new post, di Florio will define and execute ACA’s governance, risk and compliance service offerings, and oversee and manage strategic growth of ACA’s global regulatory compliance, cybersecurity and risk, AML and financial crimes, and performance practices.

Di Florio joins ACA from FINRA, where he was chief risk and strategy officer and co-chair of the FINRA360 Project Management Office. Prior to his six years at FINRA, di Florio was director of the SEC’s Office of Compliance Inspections and Examinations from 2010 to 2013.

“ACA’s commitment to helping clients strengthen compliance, manage risk, and prevent crisis through technology and quality service supports both the strategic needs of clients and the mission of global financial regulators,” said di Florio, in a statement. “I’m looking forward to driving the vision for the future of our services and leading a remarkable team of professionals and industry experts.”

Jeffrey Morton, co-founder, partner and chief revenue officer at ACA, added in the statement that ACA’s “clients are facing the ever-growing complexity of their compliance responsibilities and they need the right support, guidance and technology to address those demands. Carlo’s tremendous experience and success developing and leading teams and technologies in both the private and public sectors to support financial services firms and to protect investors will be instrumental to ACA and our clients.”

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.

Melanie Waddell

@Think_MelanieW

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