Al Izaguirre

chief compliance officer, atlanta

Al is the chief compliance officer for KPMG Corporate Finance LLC. Al has oversight and compliance responsibilities in the areas of governance; policies, procedures and controls;  testing and inspections; control room and surveillance; regulatory reporting; marketing and advertising; anti–money laundering; privacy; and training.   

Al has over 20 years of experience as a regulatory and compliance professional in the financial services industry. As a former FINRA assistant district director, he understands securities regulations and how they are enforced. As a former director of compliance at Wachovia Securities LLC, he understands the challenges financial services firms face in balancing business needs with regulatory requirements.

Al served with FINRA for eight years and was an assistant district director of the District No. 10 office in New York City. As assistant district director, Al was responsible for the leadership of various District No. 10 programs including enforcement investigations, cycle examinations, and cause examinations. Al also spent four years with Wachovia Securities LLC where he served as director of compliance for its in-bank brokerage channel. In this capacity, Al had responsibility for various compliance programs including the channel’s regulatory examinations and inquiries, regulatory reporting, surveillance, branch inspections, customer complaints, and advertising and marketing reviews. In addition, he participated in multiple integration projects of broker-dealers and the conversion of their front, middle, and back offices. Prior to joining KPMG, Al spent one year with Fidelity Investments as vice president and business manager for its offshore mutual fund division.

Al graduated from Boston College in Chestnut Hill, Massachusetts with a B.A. degree in political science and philosophy.