Lori is the Head of U.S. Investments Compliance for BNY Investments and is the Chief Compliance Officer for Mellon and Dreyfus. As Head of U.S. Compliance at BNY, Lori leads a team of Chief Compliance Officers overseeing the compliance programs for U.S. registered investment advisers (RIAs) and a broker-dealer. She is accountable for regulatory governance, including policy development and maintenance, risk-based monitoring and testing, and supervisory controls that align to SEC and FINRA requirements. Lori partners closely with business leaders and control functions to embed effective compliance frameworks across lines of business, balancing rigorous regulatory adherence with the firm’s commitment to responsible growth. Lori is a member of the National Society of Compliance Professionals and participates in various industry roundtables and conferences, sharing her perspectives on regulatory developments, best practices, and the evolving compliance landscape.

Lori has twenty-five years of experience as a compliance professional in the investment management industry. Before joining BNY in 2016, Lori was a Senior Compliance Manager at MFS Investment Management. Lori has also worked at Fidelity Investments and State Street Research and Management in various senior compliance roles. Lori has a BA from The University of Massachusetts at Amherst.