Financial Regulation: Exploring the Space Between Policy and Politics

The Loyola University Chicago Journal of Regulatory Compliance and the Center for Compliance Studies Present the 7th Annual Compliance Symposium

Friday, February 24, 2023
9:00 a.m. – 1:00 p.m.
Via Zoom

About the Symposium

This year’s symposium focuses on the recent developments within the financial regulation industry. Experts from a variety of industries and professional disciplines will provide insight on key issues surrounding financial regulation and compliance, as well as what may lie ahead for the heavily regulated area. Please register here: https://luc.zoom.us/webinar/register/WN_KL1q4tIxTkOUUYdNfcwLUw

CLE & Registration Information

This program has been approved for 3.25 hours of Illinois MCLE credit.

About the Loyola University Chicago Journal of Regulatory Compliance

The Loyola University Chicago Journal of Regulatory Compliance publishes scholarship from the interdisciplinary perspectives of law, economics, philosophy, and ethics. The journal seeks to advance academic dialogue on managing regulatory risk in a commercial enterprise, the experience of the regulated actor, and analysis of regulations in the context of organized efforts to comply with law.  Each issue offers a forum for both speculative and practical discussion. In addition to the publication of scholarly articles on a variety of compliance topics, the Journal also maintains a blog, Inside Compliance at blogs.luc.edu/compliance to provide information about emerging compliance and issues.

Symposium Agenda (CST)


9:00 a.m. - 9:15 a.m.: Welcome & Introduction

  • Steve Naughton, Director of the Center for Compliance Studies, Loyola University Chicago School of Law
  • Jamal Aziz, Editor-In-Chief, Journal of Regulatory Compliance

9:15 a.m. - 9:30 a.m.Overview of Financial Regulation Compliance from Professor Steven A. Ramirez


10:30 a.m. - 10:35 a.m.: Break

10:35 a.m. - 11:35 a.m.: CORPORATE COMPLIANCE PANEL

11:35 a.m. - 11:40 a.m.: Break


12:40 p.m. – 12:45 p.m.: Closing Remarks

  • Puja Valera, Symposium Editor, Journal of Regulatory Compliance
  • Steve Naughton, Director of the Center for Compliance Studies, Loyola University Chicago School of Law

Symposium Speakers

Trends in Modern Compliance Panelists

Amanda Delaney is counsel in Chapman's Bank Corporate Group and a member of the Banking and Financial Services Department. Amanda’s practice focuses on negotiating, structuring, and documenting complex service terms, confidentiality agreements, and various bespoke integration and partnership agreements on behalf of large financial institutions and financial technology companies. Amanda advises clients on the development of emerging wholesale and consumer payment methods and platforms, including Unfair, Deceptive or Abusive Acts or Practice (UDAAP) risks, state licensing, consumer protection, lending and issuing laws. Amanda’s experience includes counseling financial institutions on operationalizing compliance with federal consent orders and other regulatory matters relating to the Office of the Comptroller of the Currency (OCC). Additionally, Amanda advises clients on vendor contracting, compliance, management, and agreements as well as outsourcing matters.

Amanda also advises clients on privacy and data security, including matters involving the California Privacy Rights Act (CPRA) and the European Union General Principles of Data Protection (GDPR).

Prior to joining Chapman, Amanda served as Vice President and Assistant General Counsel of the Corporate and Investment Bank Division of JPMorgan Chase.

Anne Loranger is the Chief Compliance Officer of Railbird Technologies, a start-up that is currently pursuing registration as a Designated Contract Market (DCM) with the CFTC. Prior to Railbird, Anne served as Chief Regulatory Officer of Coinbase Derivatives (f/k/a/ FairX), a startup futures exchange with a focus on individual traders. She has also served in regulatory compliance roles for the futures sector at Morgan Stanley and Susquehanna International Group. She began her career in futures at NYSE Liffe US, which was acquired by the Intercontinental Exchange in 2012. Anne received her Juris Doctor cum laude from New York Law School. She also holds an M.S. in Library and Information Science from Pratt Institute and a B.A. in Slavic Languages and Literature from Indiana University, Bloomington. Ms. Loranger lives in Connecticut with her husband and four cats.

Kayce Seifert is the Regulatory Counsel at Block, Inc. Kayce's focus on financial services regulatory and compliance advisory matters began in 2015, following a stint as a judicial law clerk to the Honorable John E. Waites (retired) in the U.S. Bankruptcy Court for the District of South Carolina. Following her clerkship, Kayce joined the Federal Deposit Insurance Corporation (FDIC) as an Honors Attorney, spending time serving in the FDIC's New York and San Francisco regional offices and in various sections within FDIC Legal in Washington, D.C. focusing primarily on resolvability of complex financial institutions, cross-border information sharing, and anti-money laundering (AML) enforcement actions. Kayce later served as a Senior Attorney in the FDIC's Complex Financial Institutions Section and in the Bank Activities Unit prior to her move to the private sector as Director and Senior Counsel for Discover Financial Services' bank regulatory team. She left Discover to join Block, Inc. as its lead payments Regulatory Counsel for Square, a leading provider of payments services in the U.S. with a growing presence in Australia, Canada, France, Ireland, Japan, Spain, and the UK. At Block, Kayce also supports government relations, risk operations, compliance, and information security teams on a wide range of regulatory matters. Kayce grew up in South Carolina where she received her undergraduate degree from the University of South Carolina and her J.D. from the Charleston School of Law. She currently lives in Chicago with her husband, Aaron, and their two basenjis, Maison and Marti.

Corporate Compliance Panelists

Eric T. Young is the Senior Managing Director at Guidepost Solutions. Mr. Young re-engineers compliance, ethics, and regulatory technology programs of highly regulated, global companies so that their business growth is reputable and sustainable. He is part of both Guidepost’s Financial Services and National Security practices. Mr. Young has deep regulatory, ethics & compliance experience, having spent close to 40 years in chief compliance officer and chief AML officer roles with JP Morgan, four foreign banks including UBS and BNP Paribas, as well as with General Electric and S&P Global Ratings. Mr. Young began his career at the Federal Reserve Bank of New York with training in financial analysis, bank examinations and regulatory compliance. In addition to his corporate work, Mr. Young is an adjunct professor of ethics and compliance classes at Fordham University School of Law. He is also an advisory board member for multiple AI technology companies. Mr. Young is a frequent speaker and author and has been featured in the American Banker, Wall Street Journal, Euromoney, Forbes, and Reuters. He recently published the book “Declaration of Independence” about the strategic partnership between chief compliance officers and boards of directors to hold management more accountable.

F. Joseph Warin is chair of the 250-person Litigation Department of Gibson Dunn’s Washington, D.C. office, and he is co-chair of the firm’s global White Collar Defense and Investigations Practice Group.  Mr. Warin’s practice includes representation of corporations in complex civil litigation, white collar crime, and regulatory and securities enforcement – including Foreign Corrupt Practices Act investigations, False Claims Act cases, special committee representations, compliance counseling and class action civil litigation.

Mr. Warin has handled cases and investigations in more than 40 states and dozens of countries.  His clients include corporations, officers, directors and professionals in regulatory, investigative and trials involving federal regulatory inquiries, criminal investigations and cross-border inquiries by dozens of international enforcers, including UK’s SFO and FCA, and government regulators in Germany, Switzerland, Hong Kong, and the Middle East.  His credibility at DOJ and the SEC is unsurpassed among private practitioners – a reputation based in large part on his experience as the only person ever to serve as a compliance monitor or counsel to the compliance monitor in three separate FCPA monitorships, pursuant to settlements with the SEC and DOJ: Statoil ASA (2007-2009); Siemens AG (2009-2012); and Alliance One International (2011-2013).  He has been hired by audit committees or special committees of public companies to conduct investigations into allegations of wrongdoing in a wide variety of industries including energy, oil services, financial services, healthcare and telecommunications.

Enforcement in Financial Regulation

Jonny Frank, a Partner with StoneTurn, brings more than 40 years of public, private and education sector experience in forensic investigations, compliance and risk management. He joined StoneTurn in 2011 from PricewaterhouseCoopers (PwC), where he was a partner, and founded and led the firm’s global Fraud Risk & Controls practice.

Jonny serves as the Department of Justice (DOJ)-appointed Independent Compliance and Business Ethics Monitor to Deutsche Bank and the DOJ-appointed Independent Auditor to Fiat Chrysler. Jonny has served on the faculties of the Yale School of Management, Fordham University Law School and Brooklyn Law School, where he taught courses on strategic fraud and corruption management, complex criminal investigations and international criminal law. He is an award-winning author of more than 75 articles and book chapters, and has delivered over 75 lectures worldwide to university, public and private sector audiences.

Jim Kopecky, named partner at Kopecky Schumacher Rosenburg LLC, has extensive experience in litigation and regulatory experience. Early in his career, Jim represented defendants in commercial disputes, including complex, federal court multi-district litigation matters. Jim joined the United States Securities and Exchange Commission ("SEC") in 1999, rising to the level of Branch Chief in the Division of Enforcement. At the SEC, Jim led a team of attorneys and staff that investigated and prosecuted securities fraud, including insider trading, accounting fraud, complicated market manipulation actions, ponzi schemes, offering frauds and sales practice actions.

Jim heads the firm's regulatory services practice, and frequently litigates matters on behalf of public companies, broker-dealers, hedge fund managers and individuals in both state and federal courts across the country, as well as arbitrations before the Financial Industry Regulatory Authority ("FINRA"), the National Futures Association, and the American Arbitration Association. Jim regularly defends securities firms and financial professionals being investigated or sued by regulatory and self-regulatory agencies such as the SEC, The New York Stock Exchange, Inc., and FINRA. Jim also acts as an independent investigator for investigations under Sarbanes Oxley and as an independent expert consultant to companies disciplined by Self Regulatory Organizations.

Jim has been quoted in the Wall Street Journal, The Chicago Tribune, and other nationally syndicated newspapers. He has practiced in courts around the country, including California, Texas, Ohio, Kentucky, Indiana and Colorado.

Jim graduated from the University of Illinois, Urbana-Champaign with a degree in Economics. He went on to obtain a Doctor of Jurisprudence from Loyola University of Chicago School of Law where Jim was a Senior Member of the Loyola Law Journal, winner of two American Jurisprudence Awards for Highest Grades in Legal Writing and Moot Court, and a recipient of a 1994 Leadership and Service Award.

Virginia Chavez Romano recently joined Havas Group as its Deputy General Counsel and US General Counsel, following six years as a partner at White & Case, where she represented companies and individuals in litigations and enforcement matters and conducted internal investigations.

Prior to her time in private practice, Virginia spent approximately fourteen years in government service, beginning in 2002, when she became an Assistant US Attorney in the Criminal Division of the US Attorney’s Office for the Southern District of New York. While there, Virginia prosecuted dozens of cases ranging from international narcotics trafficking to 2008 financial crisis era frauds. Virginia left the US Attorney’s Office in 2012 to help lead the New York State Attorney General’s Office’s participation in the Residential Mortgage Backed Securities Working Group, a partnership of state and federal enforcement agencies established as part of the Department of Justice’s Federal Fraud Enforcement Task Force (FFETF). In 2014, Virginia joined the Department of Justice as Executive Director of the FFETF and Associate Deputy Attorney General. In that role, she assisted Deputy Attorney General Sally Q. Yates in matters of corporate enforcement, including the 2015 policy titled “Individual Accountability for Corporate Wrongdoing,” also known as the “Yates Memo.”

Virginia began her legal career as an associate at Willkie Farr & Gallagher in New York, where she spent four years working on a variety of commercial litigations and criminal defense matters.

Program Materials