Joe Lodato

Joe is currently the Chief Compliance Officer for Octaura.  
 
In his prior experience in compliance and operating roles, Joe led the successful integration of operations, compliance and technology to ensure an effective compliance program and drive productivity across all levels of the organization.  His experience includes working in various business lines such as High Net Worth Retail, Prime Brokerage, Clearing Services, Capital Markets and Asset Management in a variety of settings, from startups to global organizations, including Guggenheim Partners, Bank of America, Lehman Brothers, Barclays Capital and Alliance Bernstein.   In addition, Joe has served as a FINRA Arbitrator since 1996 and is an Adjunct Professor at Fordham Law School’s Master of Studies in Law for compliance.

Joe graduated with a B.B.A. in Finance from the Lublin School of Business at Pace University in New York City.

6c. ALL LAB - Regulatory Change Management (Intermediate - CLOSED)