Breakdown of SIFMA Compliance & Legal Society's Committees

Operational Subcommittees

  • Education - Elaine Mandelbaum, Citigroup Global Markets, Inc.   
  • Membership - Raymond Dorado, Bank of New York Mellon                                 
  • Strategic Planning - Stephen Gannon, Capital One Financial Corporation 


 Topical Subcommittees

  • Diversity 
    Chaired by Christopher Lewis, Edward Jones and Jacqueline LiCalzi, Morgan Stanley
  • Legal 
    Chaired by David Prince, Stephens Investment Management Group, LLC  
    The Legal Subcommittee monitors, analyzes and discusses litigation, legislative, and regulatory issues of importance to the industry, with particular attention paid to those issues identified by the SIFMA Compliance & Legal Society Executive Committee.
  • Regional 
    Chaired by Pamela Cavness, Edward Jones  
    The Regional Subcommittee fosters communication between senior compliance and legal professionals for the purpose of providing education and opportunity for regional members and enhancing the diversity of the society membership and executive committee.                          
  •  International 
    The International Subcommittee develops and facilitates among interested SIFMA CL members, an organized approach to sharing our members’ identification(s), evaluation(s) and responses to legal, regulatory and compliance environments, and other cross-border issues, affecting the international operations of our firms.

For more information on how to get involved, in any of the SIFMA Compliance & Legal subcommittees, email


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