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    Katherine Beall

    New York, New York

    Head of Regulatory & Compliance Internal Audit

    Cantor Fitzgerald

    Positive and enthusiastic leader (CPA, JD)

    CPA/JD with over 14 years in consulting, audit and compliance roles across multiple industries, including financial institutions, federal agencies, healthcare organizations and non-profits.

    Specialties

    check markAuditing & Compliance

    check markCorporate Finance

    check markInvestments

    Ask Me About

    Anti-money Laundering
    Coaching and Training
    NFA Rule 2-9
    Policy and Procedure Development
    Regulatory Analysis
    Report Writing
    Root Cause and Risk Analysis
    Sarbanes- Oxley
    Strategic planning
    Sustainable Control Design
    Where I've Worked
    Cantor Fitzgerald logo

    Sep 2017 – Present

    Head of Regulatory & Compliance Internal Audit

    Cantor Fitzgerald
    M

    Dec 2015 – Jul 2017

    Head of SOX Compliance-Vice President

    MUFG Securities USA
    PricewaterhouseCoopers logo

    Jan 2015 – Dec 2015

    Advisory

    PricewaterhouseCoopers
    Deloitte & Touche, LLP logo

    Jun 2012 – Dec 2014

    Advisory

    Deloitte & Touche, LLP
    D

    Nov 2011 – Jun 2012

    Senior Associate

    Dixon Hughes Goodman, LLP
    W

    Sep 2010 – May 2011

    Legal Consultant- Appointed Team

    West Virginia Governor's Independent Investigation Panel
    A

    Aug 2005 – Feb 2010

    Associate/Sr. Associate

    Arnett Foster Toothman LLP
    Where I've Studied

    2009

    J.D.

    West Virginia University College of Law

    2005

    Masters, Accountancy

    West Virginia University

    2003

    BS, Business Administration

    West Virginia University College of Business

    People I've Reported To

    People I've Worked With

    People Who've Reported to Me

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    In the Media

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