Laurie Van Dusen Ciatto is a highly accomplished legal and compliance executive with extensive experience in the financial services industry. She currently serves as the Senior Vice President, Chief Compliance and Ethics Officer at TIAA, a leading provider of secure retirements and outcome-focused investment solutions. In her role, Laurie is responsible for overseeing TIAA's enterprise-wide compliance and ethics programs, ensuring adherence to regulatory requirements, and fostering a culture of integrity. Her expertise encompasses regulatory affairs, risk management, corporate governance, and developing comprehensive compliance strategies for large, complex organizations. Prior to TIAA, she held significant leadership roles at FINRA (Financial Industry Regulatory Authority), where she was involved in shaping and enforcing industry regulations. Laurie is recognized for her strategic thinking, leadership acumen, and deep understanding of the evolving regulatory landscape.
Laurie Van Dusen Ciatto's work history includes a series of influential roles in various companies. Here is a detailed list of his professional journey:
Leads and manages the comprehensive compliance and ethics framework for TIAA, a Fortune 100 financial services organization, ensuring robust adherence to regulatory standards and promoting an ethical corporate culture across all business lines.
Held key leadership positions at FINRA, the largest independent regulator for all securities firms doing business in the United States, where she contributed significantly to regulatory policy, examination programs, and enforcement, impacting the integrity of the U.S. financial markets.
Possesses deep and broad expertise in the complex regulatory environment governing financial services, including banking, investments, and insurance, enabling effective navigation and strategic planning for compliance.
Successfully designed, implemented, and overseen enterprise-wide compliance and ethics programs tailored to mitigate risks and ensure alignment with legal obligations and industry best practices in large-scale financial institutions.
Boston University - Year 1997
University of Vermont - Year 1993
Marple Newtown
Marple Newtown
University of Vermont
University of Vermont
University of Vermont
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