Paul Carlesimo is a the Head of US Markets Compliance at RBC Capital Markets, LLC, where he is responsible for managing the Compliance Program for the Equities, Fixed Income, and Central Funding business lines. Additionally, Mr. Carlesimo oversees Trade and Electronic Communications Surveillance, as well as the Finance and Operations Compliance programs. Mr. Carlesimo has been with RBC Capital Markets for 8 years where he has held roles in Surveillance and Advisory Compliance, most recently as the Head of Equity and Central Funding Advisory Compliance. Mr. Carlesimo is also the Chief Compliance Officer for RBC CMA, LLC, an affiliate of RBC Capital Markets, LLC.
Prior to RBC, Mr. Carlesimo was an examiner with the Trading and Financial Examinations (“TFCE”) group of the Market Regulation Department at FINRA.