John Malitzis is a former regulator with FINRA, NYSE Regulation, and the CFTC, and a 30+ year veteran of legal and compliance in global capital markets. He is a recognized expert in market regulation, surveillance, supervision, exchange regulation, regulatory exams, heightened standards, risk management, AI governance, and data governance. Before founding his own firm, John was Global Head of Surveillance and Managing Director at TD Securities, building its global surveillance program, conduct risk framework, data governance, and surveillance quality-assurance program. John was a Managing Director at Citigroup Global Markets, working in both first-line risk/control and second-line Compliance. As Citi's Global Head of Electronic Trading Risk and Americas Head of Conduct Risk, he built Citi's global E-Trading risk program and Americas Conduct Risk program. John led the closure of Citi's FX Consent Order with the Federal Reserve and a major remediations with the UK's PRA and FCA. As Global Head of Surveillance, he a global program covering trade, voice, and electronic surveillance. John was Chief Surveillance Officer and Deputy General Counsel at Citadel Securities, building its global surveillance department and advising all broker-dealer businesses. At FINRA, as EVP of Market Regulation, he ran the trading-exam program and co-managed cross-market manipulation surveillance, working closely with the SEC and other Exchanges. He began his career at NYSE, rising to Division Chief and EVP of Market Surveillance. Earlier, John held senior legal roles at Citigroup Global Markets, Nasdaq, and NASD, and was a trial attorney at the CFTC. John is a qualified arbitrator for the American Arbitration Association and FINRA and serves on IEX's Disciplinary Hearing Board. John holds his LL.M. from Columbia Law School and JD from Boston College. He is admitted to the bars of NY, MA, and DC.
SER Associate Member
Curriculum Vitae