Gabriel “Gabe” Benincasa

Gabe Benincasa is General Counsel and Chief Compliance Officer at FundBank N.A. (“FundBank”) (“FundBank”) and is based in its Austin operation. Gabe advises FundBank and its subsidiaries and affiliates on regulatory matters impacting the bank and works closely with the Board, senior management and staff, and various control teams to support and enhance the compliance and AML framework of the bank.

Gabe has an extensive history of assisting companies to update and enhance their legal, compliance and risk structures while influencing the corporate cultures to comply with heightened regulatory scrutiny. Throughout his career, Gabe has led efforts to install robust compliance programs to protect and prevent malfeasance. Gabe has extensive experience in installing state of the art BSA/AML and KYC programs and a deep knowledge of capital markets, particularly concerning environmental, social and corporate governance (ESG) regulation of financial institutions. Gabe is an advocate of leadership setting the tone in order to build a culture of compliance.

Previously, Gabe was a Partner and Co-Head of Broker Dealer Regulation and Compliance at Holland & Knight. Prior to joining Holland & Knight, Gabe was the first Chief Risk Officer for the U.S. Securities and Exchange Commission (SEC), where he identified, monitored and mitigated key risks facing the agency and served as a key adviser on other matters such as potential systemic risks to the markets. Within this role, Gabe was responsible for implementing an Enterprise Risk Management Program for the Commission in order to address a wide range of new and growing challenges, including market and cyber security. In addition, Gabe led the SEC’s SOX 404 equivalent review of Internal Controls and was instrumental in mitigating a material weakness previously made public. Gabe was also a permanent committee member of the SEC’s Market and Activity Committee, advising the Chairman on systemic risk to be reported to the U.S. Financial Stability Oversight Council.

Earlier in his career, Gabe served as Director of Enterprise Risk Management and Vice Chair of the Risk Control Committee for a financial service holding company, Deputy Global Head of Operational Risk Management for an investment bank, General Counsel and Chief Compliance Officer for an institutional asset management company and Global Head of Compliance for a financial technology company. Gabe began his legal career as an attorney at an international law firm.

In addition to his legal, compliance and risk practice, Gabe is a guest lecturer at Baruch College and Fordham University School of Law, and a speaker at industry conferences. In addition, Gabe is a Certified Public Accountant. Gabe graduated from Fordham University School of Law, J.D., cum laude and the Baruch College of the City University of New York with a B.B.A., Accountancy, magna cum laude. Gabe was admitted to the Bar in the District of Columbia and New York and is a member of the New York State Bar Association.

Qualifications: FINRA Series 3, 7, 24 and 99.