John Thorpe

Associate Director, Anti-Money Laundering Compliance Officer, US Capital Markets , RBC Capital Markets, LLC

John Thorpe is an Associate Director, Anti-Money Laundering Compliance Officer for US Capital Markets at Royal Bank of Canada.  John is responsible for AML investigations related to all regulatory matters, reviewing firm compliance with securities laws from an AML perspective, developing AML compliance management models and controls, creating and providing AML training to business groups, identifying AML compliance gaps, creating and coordinating remediation plans, and implementing controls and compliance processes for the New York Branch and Broker Dealer.

Prior to joining RBC, John was a member of FINRA’s Enforcement Division, where John specialized in major firm investigations related to AML deficiencies particularly in microcap securities trading. John also spent 5 years as a Principal Financial Investigator for the New York County District Attorney’s Office where he supported the Major Economic Crimes Bureau providing securities investigation expertise and trial testimony and had previously spent 7 years conducting international fraud investigations for a Fortune 20 company.  John received a B.A. in Accounting from Fordham University and an MBA in International Business from Washington State University. John is also a licensed CPA, CFE and CAMS certified.