Life in the SEC

IFLR interviews Alma Angotti about her experiences working at the SEC

Our Alma Angotti, managing director and global investigations and compliance co-lead has over 25 years of experience in regulation and enforcement. She spent over 10 years at the U.S. Securities and Exchange Commission (SEC)’s enforcement division and held senior enforcement positions at the U.S. Department of Treasury’s Financial Crimes Enforcement Network and Financial Industry Regulatory Authority. In these positions, she was responsible for investigations and enforcement of the Bank Secrecy Act, and federal securities laws. She worked on cases involving market abuse from federal securities law violation to money laundering. In an interview with the International Financial Law Review managing editor Lizzie Meager, Angotti shared her motivation for becoming a regulator and her experiences at the SEC, including working on the Jordan Belfort case. 

“There are people in any organization who believe the rules don’t apply to them, and that’s who the controls are for. Then there’s the boy scouts who will never even park somewhere they’re not supposed to. Then there’s a group – the largest group – who want to do the right thing, but if they see people getting ahead for not doing the right thing, they feel like schmucks. And that’s why accountability rules are important,” she said.

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There are people in any organization who believe the rules don’t apply to them, and that’s who the controls are for.

Alma Angotti, Managing Director and Global Investigations and Compliance Co-Lead

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