Jeff Horowitz is the Chief Compliance Officer for Coinbase Inc., where he is responsible for the Firm’s global compliance initiatives. Jeff is responsible for managing regulatory relationships with foreign and domestic regulators, helping shape the development of thoughtful digital currency regulation, and manage an integrated risk framework covering reputational, operational and regulatory risk. Jeff also oversees the Firm’s Global AML Program and is representative for Coinbase at the U.S. Treasury Department’s Bank Secrecy Act Advisory Group (BSAAG). Jeff is also a member of FINRA’s Securities Industry/Regulatory Council on Continuing Education.
Prior to joining Coinbase, Jeff was a Managing Director and Global Head of Compliance for Pershing, a BNY Mellon company. Mr. Horowitz previously served as the Chief Compliance Officer for Pershing LLC as well as the Firm’s Chief Anti-Money Laundering (AML) and OFAC Officer, where he was responsible for the development and implementation of the firm’s Global AML Program across the Pershing enterprise. Mr. Horowitz represented Pershing on SIFMA’s Compliance and Regulatory Policy Committee, FINRA’s Large Firm Advisory Committee and FINRA’s Continuing Education Content Committee.
Mr. Horowitz has represented Pershing, as a securities industry representative to the BSAAG and was also a past co-chair of the Securities Industry and Financial Markets Association (SIFMA) Anti-Money Laundering Committee. Mr. Horowitz has been a member of the International Council of Securities Association and has participated in FATF’s public sector/ private sector consultative initiatives, serves on the Florida International Bankers Association AML Compliance Conference Advisory Committee.
Prior to joining Pershing, Mr. Horowitz was a Director and Head of AML Compliance for Citigroup’s Corporate and Investment Banking Division in North America. His responsibilities included the Institutional Sales and Trading Departments of Citigroup Global Markets Inc., Investment Banking, Global Relationship Banking and Global Transaction Services. Prior to joining Citigroup, Mr. Horowitz held several senior compliance roles at Lehman Brothers, Goldman Sachs and Salomon Brothers Inc. He began his career at the Federal Deposit Insurance Corporation (FDIC) in the Division of Resolutions.
Mr. Horowitz earned a Bachelor of Science degree in Economics from Trenton State College. He has also completed the Securities Industry Institute® program, sponsored by the Securities Industry and Financial Markets Association, at the Wharton School of the University of Pennsylvania. Mr. Horowitz holds the FINRA Series 7, 14, and 24 registrations.