Philip Pescatore

Phil joined Guardian Life Insurance Company in September 2018 and is currently the Chief Ethics and Compliance Officer. In this role Phil is responsible for overseeing a team of Compliance professionals charged with protecting Guardian and its consumers as well as guiding Guardian’s commitment to ethical business practices. Phil previously led the Individual Markets Compliance team as Vice President and Chief Compliance Officer. Phil has focused on enhancing the overall compliance program to be more risk-based and proactive through new governance, metrics, analytics and technology. This has enabled the teams to be better aligned to support business objectives and emerging risks, while upholding the responsibilities of a second line function. Prior to joining Guardian, Phil held various roles in his 13 years at AXA including the Head of Regulatory Supervision and Chief Risk Officer for its Wealth Management unit where he also oversaw the firm’s Department of Labor fiduciary rule efforts. Phil focused on fostering deep relationships with the sales force and was recognized on several occasions with prestigious partnership awards. Prior to AXA, Phil spent 13 years in various roles of increasing responsibility at Prudential, where he discovered his early interest in internal controls and risk management.

Phil earned a BA in Economics from Providence College and an MBA from Fordham University.

Phil holds a Series 6, 26, 7, 24 and 99 with FINRA.

Phil resides in New Jersey with his wife Carolynne and three children.

10a. ALL – Examining Ethics: Enforcement Actions and Lessons Learned (Advanced - OPEN)