In this episode of The Ethics Experts, Nick welcomes Noreen Fierro.Noreen Fierro is Senior Vice President, Enterprise Chief Ethics and Compliance Officer, Principal Financial Group She joined Principal in 2022. Prior to joining Principal, Noreen has had a 30- year career in the financial services industry both in-house in legal and compliance roles and as outside counsel. Most recently, Noreen served as the Chief Ethics & Compliance Officer at Guardian Life (2016-2021). Prior to her time at Guardian, Noreen spent 10 years at Prudential Financial in various senior compliance/legal roles. She started her career in private legal practice doing defense and regulatory work for large broker-dealers and insurance companies.Connect with Noreen on LinkedIn: http://www.linkedin.com/in/noreen-fierro-09a5228
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Episode 231 - Norm Ashkenas
In this episode of The Ethics Experts, Nick welcomes Norm Ashkenas.Norm Ashkenas is Chief Compliance Officer of Robinhood Markets, joining in 2020. He has been in the financial services industry for 30 years in a variety of legal and compliance roles, including as Chief Compliance Officer for large retail brokerage and investment advisory firms. Norm is a leader, committee member and frequent speaker for a number of industry and regulatory groups including SIFMA, FINRA, NSCP, FSDA and FMA. He holds a B.A. in European History & American Culture from Northwestern University, a J.D. from Fordham Law School, and FINRA Series 7, 14, 24, and 63 licenses.
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Episode 230 - Daniel Montenaro
In this episode of The Ethics Experts, Nick welcomes Daniel Montenaro.Dan has been an effective business partner for leading BPO firms for nearly 15 years and has expertise in transactions, complex litigation, real estate, human resources, international legal matters, compliance and corporate governance. As Alorica’s Chief Legal Officer Dan is a member of the Operating Committee and leads the Transactions, Compliance, Corporate Governance, Dispute Resolution, and Intellectual Property functions for Alorica as well as its corporate secretary. Dan has been with Alorica for nearly seven years, previously serving as Deputy General Counsel.Connect with Daniel on LinkedIn: https://www.linkedin.com/in/dan-montenaro/
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Episode 229 - James Downing
James "Jim" Downing is a seasoned compliance professional with over 25 years of experience in the broker-dealer and investment advisory industry. Currently serving as the Chief Compliance Officer of JLL Securities, Jim has held similar roles at esteemed organizations such as Morningstar, Aon, BMO, and JP Morgan. Prior to his corporate positions, Jim worked as a FINRA examiner at the Chicago District Office for 5 years, gaining valuable insights into regulatory compliance. Jim has his Juris Doctorate with honors from Taft Law School and a Masters of Accounting with honors from Roosevelt University.Connect with James: https://www.linkedin.com/in/jamesrdowning/
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Episode 228 - Bill Ryan
In this episode of The Ethics Experts, Nick welcomes Bill Ryan.Bill Ryan is responsible for leading AT&T’s compliance’s organization and supporting AT&T’s compliance with legal and regulatory requirements of the countries and jurisdictions where AT&T operates. Bill also leads legal support for AT&T’s Operations organization under Jeff McElfresh and for AT&T Latin America and Global Marketing organization led by Lori Lee, including support for AT&T Mexico.Before taking his current position, Bill provided legal support for the Consumer organization, including sales, products, marketing, advertising, digital, retail and care operations. Prior to that role, Bill was vice president and associate general counsel responsible for providing legal support for Content strategy and execution, including negotiating programming agreements entered into by DIRECTV and U-verse, acquiring rights necessary to develop new technologies and providing legal support for key strategic transactions.
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