Compliance Affinity Group Leadership

Compliance Affinity Group Executive Committee

A.J. Bosco '86
Zeichner Ellman & Krause, LLP
[email protected]

A.J. has had a distinguished 30 year career as a prosecutor, regulator, in-house attorney at large financial services institutions and as a corporate consultant with a leading forensic accounting and advisory firm.  A.J. has experience across many sectors of the global corporate and financial services industries, including corporate and investment banking, retail brokerage, ratings agencies and consumer services.  A.J. has deep experience dealing with all phases of complex financial investigations, litigation and litigation support—both domestically and internationally.

Throughout his career, including senior roles at Prudential Securities, Deutsche Bank Securities, JPMorgan Chase and Moody’s Corporation, where he was globally responsible for internal and corporate investigations, A.J. has conducted and managed numerous probes involving matters such as financial fraud, insider trading, anti-money laundering, anti-bribery and corruption, churning, suitability, mergers and acquisitions, market making, program trading, mark-ups, structured products credit and market risk, and third-party misconduct. Additionally, A.J. has extensive experience investigating whistleblower allegations involving a wide-range of fraud and corruption. He also has overseen the integrity hot lines at Moody’s and Deutsche Bank Securities.

Before entering the private sector, A.J. was an Enforcement Division Branch Chief in the New York office of the SEC, where he oversaw investigations into insider trading, offering fraud, municipal securities fraud and money laundering. A.J. began his career in the Manhattan District Attorney’s Office, where he was a Deputy Bureau Chief in the Trial Division, supervising more than 40 attorneys.

A.J. is a frequent speaker on internal governmental investigations, corporate litigation, compliance programs, and financial regulation. He was an adjunct professor at Fordham University School of Law, where he taught internal investigations.  A.J. was a member of the Fordham Law School Advisory Board on Compliance, co-chair of the ABA Business Law Section Business Crimes and Investigations Committee and a current member of the New York City Bar Association Compliance Committee.

Tricia Fratto '05
Ethics Suite
[email protected]

Tricia Fratto is a co-founder and the General Counsel of Ethics Suite, LLC. Ethics Suite offers a web-based and anonymous internal misconduct, theft, and fraud reporting platform and a full range of legal-compliance and forensic accounting consulting services. Prior to founding Ethics Suite, Tricia served as the Director of Global Investigations at Starwood Hotels and Resorts, where she provided oversight of its worldwide anti-corruption and anti-bribery investigations, designed and implemented protocols and policies, developed and conducted training programs, and advised on remediation plans. Tricia also practiced at two of the world’s largest law firms as a white-collar litigator, advising a broad range of clients on fulfilling their legal obligations. Tricia is a 2005 graduate of Fordham University School of Law, and earned a bachelor of arts degree from Long Island University, C.W. Post Campus in 2001.

Eric Hawkins '07
Morgan Stanley
[email protected]

Eric Hawkins is an Executive Director, Regulatory Advisory, in the Wealth Management Compliance Department at Morgan Stanley. Before joining Morgan Stanley, Mr. Hawkins was a senior associate in the Securities Litigation and Corporate Governance Group at Weil, Gotshal & Manges LLP, where his practice focused on representing issuers, underwriters, and directors in shareholder litigation, as well as counseling financial industry clients on litigation risk. Before joining Weil, he was a clerk to the Honorable William C. Conner, Senior United States District Judge, in the United States District Court for the Southern District of New York. Mr. Hawkins is a graduate of Fordham University School of Law and Hamilton College.

Emily Jordan '03
The Segal Group
[email protected]

Emily B. Jordan, Esq., is a regulatory attorney certified in privacy (CIPP/US, CIPM) and health care compliance (CHC) with over 15 years of progressive experience in both the government and private sector. Ms. Jordan is currently the Vice President of Legal for The Segal Group, located in Manhattan. She also earned certification as a GBA (Group Benefits Administrator) from the International Foundation of Employee Benefits Specialists.

Prior to The Segal Group, Ms. Jordan worked as an Assistant Vice President & Compliance Counsel for the Amalgamated Family of Companies in White Plains, NY where she provides advice and guidance on compliance with federal and state regulations governing health and welfare benefit plan administration, claims processing, utilization management, pensions and annuities and various worksite insurance products, and serves as a subject matter expert for enterprise data privacy and information security governance including compliance with HIPAA, GLBA, GDPR and CCPA. She has also worked as a Senior Attorney and Privacy Counsel for Affinity Health Plan in Bronx, New York, Deputy Corporate Compliance Officer and Chief Privacy Officer for the New York City Health and Hospitals Corporation, as a Senior Attorney for the New York State Medicaid Inspector General’s Office, and as a Senior Attorney for the New York State Insurance Fund. Ms. Jordan is a 2003 graduate of Fordham Law School, and earned a bachelor of arts degree at the University of Massachusetts, Boston.

Patrick L. Marano Jr. '10
Brean Asset Management, LLC
[email protected]

Patrick serves as the General Counsel and Chief Compliance Officer of Brean Asset Management, LLC, a registered investment advisor. Prior to Brean, he was an independent legal & compliance consultant serving financial services clients in the New York area. Prior to consulting, Patrick was a Legal & Compliance Manager for five years at Centerbridge Partners. At Centerbridge Patrick advised credit, private equity and real estate investment teams on transactions and regulatory matters in the US and abroad. Prior to Centerbridge, he was the Compliance Officer for debt and credit origination businesses at Barclays Capital. Since 2001, Patrick has held roles in legal, compliance, risk and technology functions at Barclays, Citigroup and Goldman Sachs.

Patrick graduated from Fairfield University’s Dolan School of Business in 2001 with a B.S. in Information Systems and Operations Management and a minor in Finance. He received his J.D. from Fordham University School of Law in 2010.

Kia Marshall '21
Bregal Investments, Inc.
[email protected]

Kia Marshall is an Associate on the Compliance team at Bregal Investments. Prior to joining Bregal, Kia worked at COFRA North America as an Executive Assistant.  In 2011, she transitioned to Bregal Investments as a Paralegal/Executive Assistant. She also worked at Bear Stearns as an Executive Assistant in Equity Research.

Kia holds a Master of Studies in Law - Corporate Compliance from Fordham University Law School, a Bachelor of Arts in Political Science from John Jay College of Criminal Justice and a  Paralegal Studies Certificate from New York University – SCPS

Denise Wong '21 
Walmart eCommerce and Omnichannel
[email protected]

Denise Wong is a Senior Manager of Global Policy Governance for Walmart eCommerce and Omnichannel. She has worked for over 15 years in consumer products compliance. In her current role, she is involved with developing decision-making compliance risk frameworks. She maintains and updates internal and public facing online content for item and seller policies. She helps to execute U.S. and global key policy strategies by working cross-functionally with multiple business partners and ensures program implementation is consistent across U.S. and global eCommerce markets. Leading complex, business critical policy discussions in support of the overall legal and compliance risks, operating plan and roadmap, she cultivates an environment where associates respect and adhere to company standards of integrity and ethics by integrating these values into all programs and practices. Prior to this new role, she was Senior Manager of Product Safety and Regulatory Compliance for all of Walmart’s private brands transacting in the eCommerce space.

Before joining Walmart, Denise spent 4 years working in Product Integrity and Compliance as well as Business Process Initiatives for Macy’s Merchandising Group that oversee the operations of all Macy’s and Bloomindales’ private brand offerings. Prior to that, Denise created the compliance department while at Marvel Entertainment after the acquisition by the Walt Disney Company aligning strategy and corporate risk in licensing and intellectual property compliance. Denise graduated with an MSL at Fordham Law School and was privileged to be part of the inaugural class of the Online MSL program in Corporate Compliance.

Compliance Program Staff

Barbara-Ann Boehler
Senior Director, Program on Corporate Ethics and Compliance; Adjunct Professor [email protected]

Alumni Relations Program Staff

Ornela Ramaj Rudovic
Senior Director, Alumni Relations and Public Programming
[email protected]

Anne Marie Bernhart
Stewardship and Alumni Relations Officer
[email protected]