Thomas Cox

Thomas Cox is an accomplished compliance professional with extensive experience in regulatory controls, reporting, and testing across various financial institutions. Currently serving as the Director of Compliance and Head of Regulatory Controls Reporting and Testing at Stifel Financial Corp. since November 2018, Thomas leads a team in enhancing compliance testing and surveillance programs. Previous roles include Compliance Manager at Keefe, Bruyette & Woods, where responsibilities included leading compliance testing and collaborating on the firm's written supervisory procedures, and Compliance Business Analyst at BNP Paribas, focusing on meeting regulatory reporting requirements. With a strong foundation in operations and compliance management, Thomas has held positions in multiple organizations, including Branch Manager at Caris & Company and roles at RBC Capital Markets and GKN Securities. Thomas holds a Bachelor of Science degree in Computer Science from Queens College.