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Stacey Guardino

Stacey Guardino

The largest financial institutions and insurance companies must now understand and manage regulatory mandates across more jurisdictions and services than ever before. Guardino specializes in consumer and enterprise compliance, compliance transformation, internal audit, internal controls, regulatory change and risk management, enhanced prudential standards and corporate governance. She works with clients to enhance existing processes and methodologies, to implement new ones, to achieve their strategic objectives and to meet regulatory expectations.

Guardino has led multiple compliance current state assessments and future state target operating model design and implementation/transformation engagements that have considered the compliance activities of both the first and second lines of defense. These projects result in detailed action plans, typically including change management and communication strategies and new or enhanced methodologies and supporting enablers.

Recent Articles by Stacey Guardino

Key Regulatory Issues in 2016 (Part 2)

The complexities of the current regulatory environment undoubtedly pose significant challenges for the broad spectrum of financial services companies, as regulators continue to expect management to demonstrate robust oversight, compliance and risk management standards. These challenges are generated at multiple, and sometimes competing, levels of regulatory authority, including state¬†and local, federal and international, and, in […]

Key Regulatory Issues in 2016 (Part 1)

The complexities of the current regulatory environment undoubtedly pose significant challenges for the broad spectrum of financial services companies, as regulators continue to expect management to demonstrate robust oversight, compliance and risk management standards. These challenges are generated at multiple (and sometimes competing) levels of regulatory authority, including local, state, federal and international, as well […]

Connect With Stacey Guardino

  • Enterprise Risk Management
  • Insurance Law
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