Paul Carlesimo

Paul Carlesimo is the Head of U.S. Capital Markets Compliance and the co-Chief Compliance Officer of RBC Capital Markets, LLC. He is responsible for overseeing RBC’s Regulatory Compliance Management Framework, compliance programs and associated controls across the U.S. Capital Markets platform which includes Global Investment Banking and Research, Global Markets trading and financing businesses and related functional groups
In addition, Paul is the Global Head of Markets Advisory Compliance, where he is responsible for driving consistency across regional compliance teams in the identification, oversight and management of the global risks that apply to RBC’s Global Markets business lines. Paul has been with RBC Capital Markets for over 11 years and held roles Business Line Compliance and Surveillance and acted as the Chief Compliance Officer of RBC CMA LLC, an affiliated broker-dealer.
Prior to RBC, Paul was an examiner with the Trading and Financial Examinations (“TFCE”) group of the Market Regulation Department at FINRA.
Paul holds a B.S. in Finance from West Chester University of Pennsylvania.