Jeff Horowitz

Jeff Horowitz

Managing Director / Chief Compliance Officer, Pershing

Jeff Horowitz is a Managing Director and Global Head of Compliance for Pershing LLC, a BNY Mellon company. Mr. Horowitz previously served as the Chief Compliance Officer for Pershing as well as the Firm’s Chief Anti-Money Laundering (AML) and OFAC Officer, where he was responsible for the development and implementation of the firm’s Global AML Program across the Pershing enterprise. Mr. Horowitz represents Pershing on SIFMA’s Compliance and Regulatory Policy Committee.

Mr. Horowitz has represented Pershing as a securities industry representative to the U.S. Treasury Department’s Bank Secrecy Act Advisory Group (BSAAG) and was also a past co-chair of the Securities Industry and Financial Markets Association (SIFMA) Anti-Money Laundering Committee. He has also served as the BSAAG co-chair of the Securities and Futures Subcommittee. Mr. Horowitz is an active member of the International Council of Securities Association group on AML and the Foreign Account Tax Compliance Act (FATCA) and serves on the Florida International Bankers Association AML Compliance Conference Advisory Committee as well the Association of Certified Anti- Money Laundering Specialists Annual AML & Financial Crime Conference Task Force.

Prior to joining Pershing, Mr. Horowitz was a Director and Head of AML Compliance for Citigroup’s Corporate and Investment Banking Division in North America. His responsibilities included the Institutional Sales and Trading Departments of Citigroup Global Markets Inc., Investment Banking, Global Relationship Banking and Global Transaction Services. Prior to joining Citigroup, Mr. Horowitz held several senior compliance roles at Lehman Brothers, Goldman Sachs and Salomon Brothers Inc. He began his career at the Federal Deposit Insurance Corporation (FDIC) in the Division of Resolutions.

Mr. Horowitz earned a Bachelor of Science degree in Economics from Trenton State College. He has also completed the Securities Industry Institute® program, sponsored by the Securities Industry and Financial Markets Association, at the Wharton School of the University of Pennsylvania.

Breakout Session 2A: Anti-Money Laundering Compliance in the Securities Industry

Chopin

Our panel of securities industry leaders will discuss the unique broker-dealer challenges of the Venezuelan sanctions regime, the impact of new CDD regulations, how Latin tax amnesties are re-shaping AML KYC, and the impact of virtual currencies and reg -tech on AML program expectations.

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