Carl Pampolina
About Carl Pampolina
Carl Pampolina is the Vice President of Internal Audit at Jefferies, with extensive experience in compliance and operational roles across various financial institutions.
Current Role at Jefferies
Carl Pampolina serves as Vice President of Internal Audit at Jefferies in New York, New York. He has been in this role since 2013. In this position, Pampolina leads audit engagements, focusing on risk assessment, audit planning, and control evaluations. He presents audit testing results to various levels within internal audit leadership and business organizations, working closely with colleagues to identify emerging control issues and report them to management.
Previous Experience at ACA Compliance Group
Before his tenure at Jefferies, Carl Pampolina was a Consultant at ACA Compliance Group from 2012 to 2013, for a period of 10 months. During this time, he provided expert consulting services to ensure business compliance with regulatory requirements, including the Investment Advisor Act of 1940. His role involved conducting research on consumer banking regulatory compliance and various topics related to banking operations and finance.
Role at Basel Asset Management
From 2005 to 2012, Carl Pampolina worked at Basel Asset Management as Chief Operations Officer and Chief Compliance Officer. During his seven-year tenure, he was responsible for overseeing operations and ensuring compliance with regulatory requirements. He developed recommendations for strengthening internal controls and improving operational efficiency, playing a critical role in maintaining the integrity and efficacy of the organization’s operations.
Experience with HSBC Securities and Deutsche Bank AG
Carl Pampolina previously worked at HSBC Securities as the Custody Group Manager from 2004 to 2005 in the Greater New York City Area. Before that, he was at Deutsche Bank AG as a Global Settlements Manager from 2000 to 2004 in Jersey City, NJ. In these roles, Pampolina managed various operational aspects, including settlements and custody, ensuring efficient and compliant financial operations.
Education at SUNY Oneonta
Carl Pampolina studied at SUNY Oneonta from 1990 to 1992. His education provided a foundation for his expertise in financial operations and compliance. His academic background has supported his career development in various high-level roles within significant financial institutions.