Andrew Pfaff
Managing Director Compliance @ Citi | Risk Management
Citi•New York City Metropolitan Area
View LinkedIn ProfileExecutive Overview
With over 30 years of experience in the financial services industry, I am a seasoned compliance leader and risk manager with a talent for delivering innovative and effective solutions to complex regulatory challenges. I currently serve as the Head of Compliance Independent Assessment for the CBNA, Banking & International businesses at Citi. In my previous roles, I have led compliance programs and initiatives in areas such as personal trading, outside activities, financial crimes, client facing documentation, and employee compliance services. I have also used my expertise in compliance technology and operations, testing, and anti-money laundering to enhance the compliance culture and performance of the organizations I have worked with. I hold a Master of Business Administration from the Yale School of Management, a Bachelor of Business Administration from the University of Notre Dame, and a FINRA Series 14 compliance official qualification. My mission is to drive compliance innovation and excellence at Citi and beyond.
Career Timeline
- CitiCurrentSep 2020–Present· 6 yrs
- Managing Director, ComplianceCurrentSep 2020–Present
- Jul 2013–Sep 2020· 7 yrs 2 mos
- Executive Director, Compliance & LegalJul 2013–Sep 2020
- Jul 2011–Jun 2013· 1 yr 11 mos
- Vice President, ComplianceJul 2011–Jun 2013
- Jul 2009–Jul 2011· 2 yrs
- Director, IT ComplianceJul 2009–Jul 2011
- Aug 2006–Mar 2009· 2 yrs 7 mos
- Director, IT ComplianceAug 2006–Mar 2009
- Mar 1997–Aug 2006· 9 yrs 5 mos
- Principal ConsultantMar 1997–Aug 2006
- Aug 1991–Feb 1997· 5 yrs 6 mos
- Manager, OperationsAug 1991–Feb 1997
Education
Master of Business Administration
Operations Management and Marketing
Yale School of Management
Bachelor of Business Administration
Management Information Systems
University of Notre DameCompliance Official
FINRA Series 14