Planning Committee

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Co-Course Planners

  • Tracy Calder, Managing Director, Deputy Chief Risk Officer, LPL Financial
  • Lissa Broome, Wells Fargo Term Professor of Banking Law; Director, Center for Banking and Finance, UNC School of Law

Planning Team

  • Suzy Auletta, Executive Vice President and Chief Compliance Officer, LPL Financial
  • Allison Bevacqua, Head of Private Banking Compliance, Credit Suisse
  • Mary Beth Findlay, Head of Investment Banking Securities Compliance, Credit Suisse
  • Sharyn Handelsman, Head of Wealth Management Americas Compliance, UBS
  • Tom Hazen, Cary C. Boshamer Distinguished Professor of Law, UNC School of Law
  • Kelly Kent, SVP Compliance Transformation Executive, Bank of America Corporation
  • Bob Mooney, Chief Compliance Officer, Wealth, Brokerage, and Retirement Business Group, Wells Fargo & Company
  • Melissa Pavese, Vice President, Compliance, JP Morgan
  • Jonathan Riordan, Senior Vice President Regulatory & Compliance Risk Management, BB&T Corporation
  • Edward Rosenblatt, Senior Counsel, McGuireWoods LLP
  • Grace Vogel, Managing Director, PWC
  • Tracy Whille, Partner, Financial Services Practice, KPMG
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