Tracy L. Whille

Principal, National Leader, KPMG’s Capital Markets and Investment Management Regulatory Risk Advisory Practice


Tracy leads the Capital Markets and Investment Management Regulatory Risk Advisory Practice at KPMG in the U.S. In this capacity she assists broker dealers, asset managers, investment advisors, future commodity merchants and swap dealers in interpreting rules and devising responsible and sustainable processes. The practice specializes in compliance assessments and transformation; trade reporting, electronic trading and surveillance; financial and operational reviews; Dodd Frank Title VII and Volcker implementation. Prior to joining KPMG in 2013, Tracy spent over 25 years in the financial services industry focusing on finance and compliance. Tracy has demonstrated leadership, initiative, flexibility, and the ability to navigate well in a fast-paced global financial environment. Tracy is a proven leader with the ability to interpret complex rules and governance, translating into strategic, effective and practical compliance risk programs aligned with the regulatory landscape and the needs of the business. Tracy has comprehensive knowledge of most assets classes and is recognized industry-wide for successfully implementing comprehensive global compliance programs. Tracy began her career in Finance and transferred into Fixed Income, Commodities and Currency Compliance from where she went on to be Global Chief Compliance Officer for diversified, global firms.

  • Advisory
  • Capital Markets
  • Financial Risk Management
  • Financial Services
  • Investment Management
  • Regulatory Risk
  • Risk Consulting
  • B.S., Accounting, Seton Hall University

  • MBA in Finance, Seton Hall University

  • Industry Regulatory Registration for General Securities Principal

  • Industry Regulatory Registration for Chief Compliance Officer

  • SIFMA Compliance and Regulatory Policy Committee (prior Self-Regulation Committee)

  • SIFMA Dodd-Frank Act Committee Advocating and Commenting on Chief Compliance Officer Rules

  • Executive Officer of SIFMA Compliance and Legal Society and Day Chair

  • Member of FINRA Compliance Advisory Group

  • Member of FINRA Fixed Income Committee