Steven Trigili: Profile of a Compliance and AML Expert
Steven Trigili is a highly respected figure in financial compliance, known for his decades-long career in regulatory oversight, anti-money laundering (AML) programs, and risk management. With over 30 years of experience in the financial services industry, he has built a reputation as both a practical leader and an educator. Trigili combines operational expertise with academic insight, making him a trusted voice in modern compliance practices.
Throughout his career, he has worked with broker-dealers, investment firms, and educational institutions, shaping compliance frameworks and mentoring future business professionals. His work reflects a rare balance between hands-on management, strategic planning, and a commitment to teaching and thought leadership.
Early Life and Educational Background
Steven D. Trigili grew up on the Jersey Shore, an upbringing he often credits with instilling a strong work ethic and discipline. His early experiences encouraged a focus on responsibility and integrity, qualities that would become central to his professional life.
He pursued his undergraduate studies at Shippensburg University of Pennsylvania, where he developed analytical skills and business knowledge that laid the foundation for a career in financial services. Understanding the increasing importance of advanced education, Trigili continued his studies at Southern New Hampshire University, earning an MBA that enhanced his strategic management and leadership abilities.
Recognizing the growing need for expertise in anti-money laundering and compliance, he earned the Certified Anti-Money Laundering Specialist (CAMS) designation. Alongside this, he holds numerous FINRA licenses including Series 7, 24, 55, 63, 65, and 79, ensuring comprehensive knowledge of securities regulations. These certifications not only validate his technical skills but also signal his commitment to maintaining high standards in compliance.
Early mentors and personal motivation played a role in shaping Trigili’s approach. He often emphasizes practical learning and ethical decision-making, which he now brings into both his corporate and academic roles.
Career Overview – Building 30+ Years in Financial Compliance
Steven Trigili’s career spans more than three decades, a period marked by evolving regulations, increased scrutiny, and technological advancements in financial compliance. His journey reflects adaptability, leadership, and a continuous focus on professional growth.
Early Leadership Roles
In 1995, Trigili became Vice President of Compliance at International Planning Alliance, LLC in Fairfield, New Jersey. Here, he oversaw compliance functions for a firm that operated as both a broker-dealer and a registered investment adviser (RIA). This role provided early exposure to complex regulatory environments and fiduciary oversight.
During this period, Trigili developed strategies for risk assessment, supervisory procedures, and internal audits—foundational skills that would shape his later leadership roles.
Chief Compliance Officer at Garden State Securities
In 2009, Trigili joined Garden State Securities, Inc. in Red Bank, New Jersey, as Chief Compliance Officer, later taking on the role of Chief Compliance and AML Officer. In this position, he manages the firm’s entire compliance infrastructure, ensuring alignment with SEC and FINRA regulations.
His responsibilities include:
- Establishing and maintaining firm-wide policies and procedures
- Leading anti-money laundering programs and risk assessments
- Overseeing cybersecurity and data protection initiatives
- Ensuring regulatory readiness and effective internal audits
- Mentoring staff and fostering a culture of ethical accountability
Through these efforts, Trigili has strengthened internal controls, reduced compliance risks, and maintained regulatory trust for the firm.
Consulting and Expert Witness Work
Beyond corporate roles, Trigili provides advisory services to small financial firms and legal professionals. His guidance focuses on:
- Developing compliance programs tailored to firm size and operations
- Preparing for regulatory examinations and audits
- Navigating enforcement actions or disputes
He also serves as a certified expert witness in securities arbitrations, offering testimony on broker-dealer supervision, regulatory practices, and program design. This combination of hands-on experience and regulatory knowledge makes him a valuable resource for organizations seeking practical solutions in compliance.
Engagement with FINRA and Industry Committees
Steven Trigili has extended his influence beyond his own firm by contributing to FINRA committees and industry initiatives.
- Small-Firm Representative on FINRA North Region Committee: Trigili represented smaller broker-dealers, ensuring their concerns were reflected in regulatory discussions.
- Continuing Education Content Committee: He helps shape training materials and examination content for compliance professionals.
His involvement has contributed to stronger standards, practical guidance for small firms, and enhanced professional education across the industry. These roles highlight his dedication not just to compliance, but to improving the framework and resources available to all financial firms.
Academic Contributions and Teaching Career
Parallel to his corporate work, Trigili has built a strong academic presence as an adjunct professor of business and management. He has taught at:
- Southern New Hampshire University
- Northern State University
- Georgian Court University
- Ocean County College
His courses focus on business management, regulatory compliance, and financial ethics. Trigili emphasizes practical application, using real-world compliance challenges to illustrate theoretical concepts. Many students credit his mentorship with enhancing their career readiness and understanding of regulatory complexities.
Publications, Thought Leadership, and Speaking Engagements
Steven Trigili is also active in industry publications and speaking engagements.
- Journal of Financial Compliance: Contributor and editorial board member
- Speaking Engagements: FINRA, NSCP, ACAMS conferences
- Topics Covered:
- Compliance leadership in small firms
- AML program implementation
- Risk management and cybersecurity
- Regulatory accountability
His contributions help guide industry standards, educate professionals, and provide practical insights into the evolving world of financial compliance.
Recognitions, Credentials, and Industry Standing
Trgili’s career is distinguished by numerous certifications, recognitions, and leadership roles that reflect his expertise:
| Achievement / Credential | Details / Year |
|---|---|
| CAMS Certification | Certified Anti-Money Laundering Specialist |
| FINRA Series 7, 24, 55, 63, 65, 79 | Broker-dealer and compliance licenses |
| MBA | Southern New Hampshire University |
| Chief Compliance Officer | Garden State Securities, Inc. |
| FINRA Committee Roles | North Region, Continuing Education Content Committee |
| Publications | Journal of Financial Compliance |
These achievements demonstrate both technical proficiency and strategic leadership, reinforcing his credibility as a compliance authority.
Steven Trigili’s Impact on the Compliance Industry
Trgili’s work has had a tangible impact on financial compliance practices:
- Strengthening small firms: He develops compliance programs for smaller organizations, reducing audit risks and regulatory penalties.
- Advancing AML practices: His strategies ensure firms meet evolving anti-money laundering standards.
- Mentoring future leaders: Students and junior compliance professionals benefit from his hands-on guidance and real-world examples.
- Measurable outcomes: Many firms under his guidance report improved audit results, enhanced risk management frameworks, and more efficient compliance workflows.
His influence extends beyond operational oversight to shaping the culture of ethical compliance and professional development.
Lessons from Steven Trigili’s Career
- Ethics and Integrity: Upholding ethical standards is critical in compliance and risk management.
- Practical Experience + Education: Combining hands-on experience with teaching allows for well-rounded leadership.
- Adaptability: Navigating changes in regulations, cybersecurity, and industry standards is essential for long-term success.
These lessons serve as a guide for aspiring compliance professionals seeking both operational excellence and career growth.
FAQs About Steven Trigili
Who is Steven Trigili?
Steven Trigili is a compliance executive, AML expert, and educator with over 30 years in financial services. He is recognized for his leadership, regulatory expertise, and contributions to professional education.
What companies has Steven Trigili worked for?
He has held key roles at International Planning Alliance, Perrin Holden & Davenport, and currently serves at Garden State Securities, Inc. His career spans both corporate leadership and advisory work for smaller firms.
What are Steven Trigili’s key certifications?
Trigili holds the CAMS certification, multiple FINRA licenses (Series 7, 24, 55, 63, 65, 79), and an MBA. These credentials establish his credibility in compliance and regulatory management.
Does he teach or mentor students?
Yes, he serves as an adjunct professor at multiple universities, teaching business, management, and compliance courses. He emphasizes real-world applications and mentors students pursuing careers in financial services.
What areas does he specialize in?
Steven Trigili specializes in regulatory compliance, anti-money laundering (AML), risk management, and cybersecurity oversight for broker-dealers and small financial firms.
Has he published any articles?
Yes, he contributes to the Journal of Financial Compliance and serves on its editorial board, offering insights into compliance leadership and best practices for small firms.
What is his role in FINRA committees?
He has served as Small-Firm Representative on the FINRA North Region Committee and contributes to the Continuing Education Content Committee, shaping industry standards and professional training.
How has he impacted the financial services industry?
Trigili has strengthened compliance frameworks, advised firms on AML and regulatory best practices, and guided future compliance professionals through mentorship and teaching, leaving a lasting mark on the industry.
Conclusion – The Legacy of Steven Trigili
Steven Trigili’s career is a testament to the power of combining operational leadership with education and thought leadership. His decades of work in compliance, AML oversight, and risk management have shaped firms, guided professionals, and strengthened industry standards.
Through teaching, consulting, and committee participation, Trigili has fostered a culture of ethical compliance and practical knowledge. His legacy continues to influence both the present and future of financial services, demonstrating that leadership, integrity, and mentorship are essential in a constantly evolving regulatory landscape.
