COMPLY Summit 2019 was a premier conference focused on regulatory technology (RegTech) and compliance, organized by PerformLine. Held on May 14-15, 2019, at Tribeca360 in New York City, the event brought together a diverse group of professionals, including regulators, compliance officers, risk management experts, legal professionals, and innovators from around the world.
The summit covered a wide range of topics pertinent to the evolving compliance landscape. Key sessions addressed the integration of compliance technology, the development of a strong compliance culture, and strategies for managing emerging risks. Notably, a panel of Chief Compliance Officers (CCOs) shared insights on effective compliance practices, emphasizing the importance of understanding employee challenges, leveraging technology, and fostering a culture of integrity within organizations.
In addition to informative sessions, COMPLY Summit 2019 provided ample networking opportunities for attendees to connect with peers, industry leaders, and regulatory officials. The event featured an expo hall showcasing the latest RegTech solutions and services. Prominent speakers included Troy Paredes, former SEC Commissioner and founder of Paredes Strategies LLC, who shared his expertise on financial regulation and compliance strategies.
The summit was designed for compliance professionals, legal experts, risk managers, and executives responsible for regulatory adherence. Attendees gained valuable insights into best practices, technological advancements, and collaborative approaches to navigating the complex regulatory environment.
Speakers(45)
Alix Rosenthal
Vice President, Compliance at Lyft
Alix Rosenthal is the Vice President of Compliance at Lyft. She spoke at the COMPLY Summit in 2019.
Andrew Cosgrove
Associate General Counsel at Upgrade
Andrew Cosgrove serves as Associate General Counsel at Upgrade. He was a speaker at the COMPLY Summit in 2019.
Aparna Menon
Vice President of Digital Acquisitions at Barclays
As Vice President of Digital Acquisitions for Barclays, Aparna Menon is responsible for developing acquisition strategies across credit cards, online savings, and personal loans. Her focus spans technology, process engineering, product management, and marketing. She emphasizes omni-channel marketing across a connected MarTech suite that offers seamless integration of first-, second-, and third-party data. Aparna holds an MBA from Columbia Business School, New York.
Denada Ramnishta
SVP, Partner & Lender Strategy at Lendio
Denada Ramnishta is the Senior Vice President of Partner & Lender Strategy at Lendio. She spoke at the COMPLY Summit in 2019.
Derek Smith
Associate General Counsel, Homes at Airbnb
Derek Smith is the Associate General Counsel for Homes at Airbnb. He was a speaker at the COMPLY Summit in 2019.
Dipayan Gupta
CVP Social Media, Brand Marketing at New York Life
Dipayan Gupta serves as the Corporate Vice President of Social Media and Brand Marketing at New York Life. He spoke at the COMPLY Summit in 2019.
Gary Offner
Head of Nasdaq Ventures at Nasdaq
Gary Offner is the Head of Nasdaq Ventures at Nasdaq. He was a speaker at the COMPLY Summit in 2019.
Jeff Easley
AVP, Risk and Compliance Solutions at USAA
Jeff Easley is the Assistant Vice President of Risk and Compliance Solutions at USAA. He spoke at the COMPLY Summit in 2019.
Jo Ann Barefoot
CEO at Barefoot Innovation Group
Jo Ann Barefoot is CEO of Barefoot Innovation Group, Co-founder of Hummingbird Regtech, Senior Advisor to the Omidyar Network, and host of the podcast 'Barefoot Innovation.' A noted advocate of 'regulation innovation,' she is Senior Fellow Emerita at the Harvard Kennedy School Center for Business & Government and is writing a book on financial innovation and regulation. She has been Deputy Comptroller of the Currency, partner at KPMG, Co-Chairman of Treliant Risk Advisors, and staff member at the U.S. Senate Banking Committee.
Joeri Weyenbreg
President at Higher Education
Jonathan Frieder
Principal Director at Accenture
Jonathan Frieder is a Principal Director at Accenture. He spoke at the COMPLY Summit in 2017 and 2019.
Jonathan Pompan
Partner & Co-Chair of Consumer Financial Services Practice at Venable LLP
Jonathan Pompan is a Partner and Co-Chair of the Consumer Financial Services Practice at Venable LLP. He has spoken at COMPLY Summit in 2015, 2019, 2021, and 2025.
Jose Caldera
Chief Products and Marketing Officer at IdentityMind
Jose Caldera serves as the Chief Products and Marketing Officer at IdentityMind. He was a speaker at the COMPLY Summit in 2019.
Jotaka Eaddy
Vice President of Policy, Strategic Engagement and Impact at LendUp
Jotaka Eaddy is the Vice President of Policy, Strategic Engagement, and Impact at LendUp. She spoke at the COMPLY Summit in 2019.
Julia La Roche
Senior Writer and On-Air Reporter at Yahoo Finance
Julia La Roche is a Senior Writer and On-Air Reporter at Yahoo Finance. She was a speaker at the COMPLY Summit in 2019.
Kate Salottolo
Global Head of AML, Brand Risk Management and Global Financial Crimes Governance at PayPal
Kate Salottolo serves as the Global Head of AML, Brand Risk Management, and Global Financial Crimes Governance at PayPal. She spoke at the COMPLY Summit in 2019.
Kayvan Alikhani
Co-Founder and CEO at Compliance.ai
Kayvan Alikhani brings 25 years of experience in enterprise technology to his role as CEO of Compliance.ai. A pioneer of the RegTech industry, he has interviewed over 500 Chief Compliance Officers at financial services institutions to understand the scope and urgency of the challenges they face. He has a practical vision for how technology can be applied to address their most pressing needs within today’s complex and dynamic regulatory environment.
Ken Richard
Executive Vice President and General Counsel at Ytel
Ken Richard brings vast software and technology licensing, consulting knowledge, and skill to the Ytel team. He has represented several public and private Tier 1 software companies in his 30-year legal career. Ken provides a customer service approach to both practical and legal challenges for all stakeholders. He is also published nationally and recognized as a subject-matter expert on software licensing. Additionally, Ken is one of the architects in the evolving industry SMS compliance initiatives and often works closely with government and private sector attorneys on matters related to governmental and carrier compliance.
Kenneth Auspaker
Managing Director at Evercore
Kenneth Auspaker is a Managing Director at Evercore. He was a speaker at the COMPLY Summit in 2019.
Kevin C. Conroy
Partner, Administrative Law Department at Foley Hoag LLP
Kevin C. Conroy is a Partner in the Administrative Law Department at Foley Hoag LLP. He spoke at the COMPLY Summit in 2019.
Marc Yudkin
Chief Legal Officer at VaynerX
Marc Yudkin serves as the Chief Legal Officer at VaynerX. He was a speaker at the COMPLY Summit in 2019.
Mark Webb
Head of Compliance and Operational Risk Management at Affirm
Marybeth McManus
Senior Vice President, Business Process Controls at Fifth Third Bank
Marybeth McManus is the Senior Vice President of Business Process Controls at Fifth Third Bank. She spoke at the COMPLY Summit in 2019.
Meredith Moss
CEO at Finomial
Meredith Moss is the CEO of Finomial. She was a speaker at the COMPLY Summit in 2019.
Milton Marquis
Member, State Attorneys General Practice at Cozen O'Connor
Milton Marquis is a member of the State Attorneys General Practice at Cozen O'Connor. He spoke at the COMPLY Summit in 2019 and 2021.
Mitch Viner
General Counsel at LowerMyBills
Mitch Viner serves as General Counsel at LowerMyBills. He was a speaker at the COMPLY Summit in 2019.
Nick Tomooka
CIPP/E, Privacy Consultant at OneTrust
Nick Tomooka is a Certified Information Privacy Professional/Europe (CIPP/E) and Privacy Consultant at OneTrust. He spoke at the COMPLY Summit in 2019.
Nirvana Farhadi
Global Head of Financial Services, RegTech Risk and Regulatory Compliance at Hitachi Vantara
As the Global Head of RegTech for Hitachi, Nirvana is the business owner and strategic leader for Hitachi’s Financial Services RegTech business. A thought leader and pioneer in the Financial Services RegTech sector, she is a global compliance, operations and risk expert across multiple FS sector Regs and Jurisdictions.
Paul Rodriguez
Director of Consumer Affairs at Office of the Attorney General, State of NJ
Paul Rodriguez is the Director of Consumer Affairs at the Office of the Attorney General, State of New Jersey. He spoke at the COMPLY Summit in 2019.
Paul Watkins
Assistant Director Office of Innovation at Consumer Financial Protection Bureau
Paul Watkins serves as the Assistant Director of the Office of Innovation at the Consumer Financial Protection Bureau. He was a speaker at the COMPLY Summit in 2019.
Phill Rosen
CEO, Founder at Even Financial
Phill Rosen is the CEO and Founder of Even Financial. He spoke at the COMPLY Summit in 2019.
Rebecca Blabolil
Chief Compliance Officer at Guaranteed Rate
Rebecca Blabolil is the Chief Compliance Officer at Guaranteed Rate. She was a speaker at the COMPLY Summit in 2019.
Rebecca Griffith
Consultant, Former Senior Marketing Counsel at Unilever
Rebecca Griffith is a Consultant and former Senior Marketing Counsel at Unilever. She spoke at the COMPLY Summit in 2019.
Rhonda McGill
Director of Compliance at Quicken Loans
Rhonda McGill is the Director of Compliance on the Legal Team for Quicken Loans Inc., based in Detroit, Michigan. She joined Quicken Loans in 2012, working in various areas of compliance until becoming the Director of Licensing in 2017. In 2018, she expanded her role to lead Legal Compliance Operations, including Licensing, Fair Lending, Anti-Money Laundering, and Marketing Compliance. Quicken Loans offers an internet-based platform delivering mortgages in all 50 states.
Richard Cordray
Former Director of the CFPB at Author of "Watchdog"
Richard Cordray is the former Director of the Consumer Financial Protection Bureau and author of "Watchdog." He spoke at the COMPLY Summit in 2019 and 2020.
Russell E. Perry
CEO and Co-Founder at kompany
Russell E. Perry is the CEO and Co-Founder of kompany. He spoke at the COMPLY Summit in 2019 and 2021.
Sam Mirarchi
Senior Deputy Attorney General at PA Bureau of Consumer Protection
Sam Mirarchi is the Senior Deputy Attorney General at the Pennsylvania Bureau of Consumer Protection. He spoke at the COMPLY Summit in 2019.
Sandhya Brown
Assistant Director at Bureau of Consumer Protection’s Division of Financial Practices
Sandhya Brown is the Assistant Director at the Bureau of Consumer Protection’s Division of Financial Practices. She has spoken at the COMPLY Summit in 2016, 2019, 2021, and 2024.
Sharon Carmeli
Chief Compliance Officer and General Counsel at Bluevine
Sharon Carmeli serves as the Chief Compliance Officer and General Counsel at Bluevine. She was a speaker at the COMPLY Summit in 2019.
Shelley Metz-Galloway
Managing Director, US Regulatory Compliance Lead at Protiviti
Shelley Metz-Galloway is the Managing Director and US Regulatory Compliance Lead at Protiviti. She has spoken at the COMPLY Summit in 2019 and 2021.
Smitha Mortis
Chief Compliance Officer at Klarna
Smitha Mortis is the Chief Compliance Officer for Klarna Inc., a U.S. subsidiary of a Swedish payments company and bank. As an early member of the Klarna U.S. team, she developed and currently manages the company’s Compliance Management System. Prior to joining Klarna, Smitha was Director, Legal Counsel at PayPal and Bill Me Later, Inc. She resides in the Washington, DC metro area with her husband and two children.
Tania Yuki
Founder & CEO at Shareablee
Tania Yuki is the Founder and CEO of Shareablee. She was a speaker at the COMPLY Summit in 2019.
Tim Humphrey
Sr. Director of Operational Risk at Marlette Funding
Tim Humphrey is the Senior Director of Operational Risk at Marlette Funding. He spoke at the COMPLY Summit in 2019.
Tina Woo
Vice President and Senior Managing Counsel, Regulatory Affairs at Mastercard
Tina Woo serves as the Vice President and Senior Managing Counsel for Regulatory Affairs at Mastercard. She was a speaker at the COMPLY Summit in 2019.
Troy A. Paredes
Founder at Paredes Strategies LLC
Troy A. Paredes is the founder of Paredes Strategies LLC. From 2008-2013, he served as an SEC Commissioner. Paredes advises on financial regulation, compliance, risk management, corporate governance, and regulatory strategy. He was a professor of law at Washington University in St. Louis and is currently a Distinguished Scholar in Residence at NYU School of Law. Paredes co-hosts a fintech podcast called 'Appetite for Disruption' and serves on the board of advisors and has been a member of the board of directors at several companies.
Event Details
- Date
- May 14-15, 2019
- 2 days
- Location
- 🇺🇸 New York, United States
- Tribeca360
- Audience
- Compliance professionals, legal experts, risk managers, executives responsible for regulatory adherence