A FINRA committee representative and educator advancing modern compliance standards.
In an industry where regulation shapes reputation and trust defines success, Steven Trigili has built a career at the forefront of financial compliance. With more than three decades of experience in broker-dealer oversight, anti-money laundering programs, and risk management, he stands out as both a seasoned executive and a dedicated educator. From leading enterprise-wide compliance initiatives to mentoring future business professionals, Trigili’s work reflects a rare blend of practical expertise and academic insight, making him a respected voice in modern financial governance.
Facts about Steven Trigili
| Facts | Details |
| Full Name | Steven D. Trigili |
| Profession | Compliance Executive, Anti-Money Laundering (AML) Officer, Educator |
| Current Role | Chief Compliance & AML Officer, Garden State Securities, Inc. |
| Industry Experience | 30+ years in broker-dealer and wealth management compliance |
| Areas of Expertise | Regulatory compliance, AML programs, risk management, cybersecurity oversight |
| Key Licenses | FINRA Series 7, 24, 55, 63, 65, 79 |
| Certifications | Certified Anti-Money Laundering Specialist (CAMS) |
| Education | Degrees from Shippensburg University of Pennsylvania and Southern New Hampshire University; MBA |
| Academic Role | Adjunct Professor of Business & Management |
| Teaching Institutions | Southern New Hampshire University, Northern State University, Georgian Court University, Ocean County College |
| Regulatory Leadership | Former Small-Firm Representative, FINRA North Region Committee |
| Committee Work | FINRA Continuing Education Content Committee Member |
| Publications | Contributor and Editorial Board Member, Journal of Financial Compliance |
| Speaking Engagements | FINRA, NSCP, ACAMS, Regulatory Compliance conferences |
Early Life and Educational Foundation
Steven D. Trigili’s professional journey is rooted in a strong personal foundation. Raised on the Jersey Shore, he often credits his upbringing with instilling the discipline and work ethic that would later define his career.
Trigili pursued higher education at Shippensburg University of Pennsylvania, where he began building the analytical and business skills necessary for a career in financial services. He later attended Southern New Hampshire University, earning additional academic credentials that strengthened his professional foundation.
He went on to complete a Master of Business Administration (MBA), equipping him with strategic management capabilities. Recognizing the increasing importance of financial crime prevention, Trigili earned the Certified Anti-Money Laundering Specialist (CAMS) designation, an internationally respected credential in AML compliance. Alongside this, he holds numerous FINRA registrations, including Series 7, 24, 55, 63, 65, and 79 licenses, as well as a life and health insurance license. These certifications reflect both technical proficiency and regulatory fluency.
Building a 30-Year Career in Financial Compliance
Steven Trigili’s career in financial services compliance spans more than 30 years—a period marked by profound regulatory transformation in the United States.
1. Early Leadership Roles
From 1995 through 2003, Trigili served as Vice President of Compliance at International Planning Alliance, LLC in Fairfield, New Jersey. In this role, he oversaw compliance functions for a dually registered broker-dealer and registered investment adviser (RIA). This early experience positioned him at the intersection of securities regulation and fiduciary oversight.
He later moved to New York City, where from 2003 to 2009 he served as Chief Compliance Officer at Perrin, Holden & Davenport Capital Corp. During this period, the regulatory landscape grew increasingly complex, particularly in the wake of early-2000s market reforms and evolving supervisory expectations.
2. Chief Compliance Officer at Garden State Securities
In 2009, Trigili joined Garden State Securities, Inc., headquartered in Red Bank, New Jersey. As Chief Compliance Officer, and later Chief Compliance and Anti-Money Laundering Officer, he assumed primary responsibility for the firm’s compliance infrastructure.
His oversight includes:
- Establishing and maintaining firm-wide policies and procedures
- Ensuring compliance with SEC and FINRA regulations
- Leading anti-money laundering (AML) programs
- Managing risk assessment and mitigation strategies
- Overseeing cybersecurity and data-safeguarding initiatives
In practice, Trigili directs a comprehensive compliance framework designed to protect clients, maintain regulatory alignment, and foster a culture of ethical accountability.
Advisory, Consulting, and Expert Witness Work
Beyond his corporate leadership, Steven Trigili provides compliance consulting services to small financial firms and securities attorneys. His advisory work focuses on strengthening compliance programs, preparing for regulatory examinations, and navigating enforcement matters.
He is also a certified expert witness in securities arbitrations. In this capacity, he offers specialized testimony in cases involving broker-dealer supervision, regulatory practices, and compliance program design. His expertise bridges both practical operational knowledge and formal regulatory standards.
This combination of practitioner experience and regulatory insight has made him particularly valuable to small and mid-sized firms, organizations that often face significant compliance demands with limited resources.
Engagement with FINRA and Industry Committees
Trigili’s professional influence extends well beyond his employer organization. He has played an active role in regulatory and industry leadership.
He was elected by his peers to serve as the Small-Firm Representative on Financial Industry Regulatory Authority (FINRA)’s North Region Committee. Over six years, he represented the interests of small broker-dealers, ensuring their voices were heard in regulatory discussions.
Additionally, he currently serves on FINRA’s Continuing Education Content Committee, contributing to the development of training materials and examination content for industry professionals. This role reflects a trust in his judgment and subject-matter expertise.
His committee involvement demonstrates an important dimension of his career: not merely complying with regulation, but helping shape its practical application within the industry.
Professional Associations and Community Leadership
Steven Trigili maintains active membership in several leading compliance and regulatory organizations, including:
- The Society of Corporate Compliance and Ethics (SCCE)
- The National Society of Compliance Professionals (NSCP)
- National Regulatory Services (NRS)
- The Association of Certified Anti-Money Laundering Specialists (ACAMS)
These affiliations reflect ongoing engagement with evolving standards in corporate ethics and financial oversight.
Since the mid-2000s, he has also been a frequent speaker at industry conferences, including events hosted by FINRA, NSCP, ACAMS, and Regulatory Compliance Watch. His presentations often address:
- Compliance leadership in small firms
- Supervisory responsibilities for high-risk activities
- CCO liability and regulatory accountability
- Emerging trends in AML and cybersecurity
Through these speaking engagements, Trigili contributes practical insight to compliance professionals nationwide.
Academic Contributions and Teaching Career
Parallel to his corporate leadership, Steven Trigili has cultivated a respected academic career.
He serves as an adjunct professor of business and management, teaching at institutions including:
- Southern New Hampshire University
- Northern State University
- Georgian Court University
- Ocean County College
At both undergraduate and graduate levels, he integrates real-world compliance challenges into classroom discussions. His approach emphasizes leadership under pressure, ethical decision-making, and regulatory accountability.
Trigili has noted that publishing and teaching allow him to connect field experience with academic theory, helping students understand how governance frameworks operate in practice rather than in abstraction.
Published Scholarship and Thought Leadership
Steven Trigili’s writing has appeared in respected industry publications. Notably, his June 2025 article, “The challenges of wearing multiple hats: A compliance officer’s guide to successfully leading a small firm,” was published in the Journal of Financial Compliance.
In this piece, he explores the structural pressures facing compliance officers at small firms, including limited staffing, overlapping responsibilities, and heightened regulatory scrutiny. The article offers practical strategies for balancing operational demands with regulatory obligations.
He also serves on the editorial board of the Journal of Financial Compliance, contributing to scholarly standards and shaping discourse within the field.
Through writing and editorial work, Trigili advances professional understanding of compliance leadership, particularly within smaller organizations that face disproportionate regulatory burdens.
Recognitions and Professional Standing
Within the compliance community, Steven Trigili is widely regarded as a subject-matter expert in broker-dealer supervision and AML oversight. His election to FINRA committees, speaking invitations, and editorial board role reflect peer recognition.
Holding the CAMS credential and multiple FINRA licenses underscores his technical competence, while his MBA supports his strategic leadership capabilities.
Though his work often occurs behind the scenes, its impact is substantial—shaping regulatory preparedness, strengthening internal controls, and mentoring future leaders in business and compliance.
The Broader Impact of Steven Trigili’s Work
The financial services industry operates on trust—trust between firms and clients, between regulators and institutions, and between markets and participants. Compliance officers serve as guardians of that trust.
Steven Trigili’s career illustrates how regulatory leadership, when combined with education and thought leadership, can create durable institutional value. By guiding small firms through complex regulatory frameworks, advising on enforcement matters, and teaching future professionals, he contributes to both present stability and long-term industry resilience.
Conclusion
Steven Trigili stands as a distinguished figure in financial compliance, an executive, educator, advisor, and thought leader whose work spans corporate governance and academic instruction. With more than 30 years of experience in broker-dealer and wealth-management oversight, he has navigated regulatory complexity while championing integrity and professional development.
Through leadership at Garden State Securities, engagement with FINRA committees, published scholarship, and university teaching, Trigili has built a career defined by balance: operational rigor and educational mentorship, regulatory precision and strategic foresight.
In an industry shaped by constant scrutiny and change, Steven Trigili’s example underscores the enduring importance of ethical leadership and informed compliance practice.
