Steven Engel

Steven Engel

Managing Director

Steven Engel is a Managing Director on the Bates Compliance team, and an expert in financial services with experience in Risk and Regulatory Advisory. He comes to Bates from the BNY Mellon Corporation, where he served as Senior Principal in the Program Management Office. At BNY Mellon, Steven managed regulatory and operational programs to closure, recruited and mentored professionals into the Program Management Office, and participated in regulatory reform initiatives and regulatory audits.

Prior to BNY Mellon, he was Director of Financial Services Risk and Regulatory Consulting at PwC, serving institutional and retail clients in a national practice. As Director, Steven managed teams of consultants to solve risk management and compliance needs across the three lines of defense. His client work covered the laws, rules and regulations across banking and capital markets activities. Additionally, Steven served as a Senior Bank Examiner at the Federal Reserve Bank of Cleveland, covering large institutions.


Steven Engel

A Consultant and subject matter expert in these services:



BNY Mellon Corporation, Financial Services Program Management Office Senior Principal, Pittsburgh, PA, 2018 – 2020

PNC Financial Services Inc., Senior Vice President for Financial Services Corporate and Institutional Banking, Pittsburgh, PA, 2017 – 2018

PricewaterhouseCoopers, LLC, Financial Services Risk and Regulatory Advisory ­ Banking and Capital Markets Division, Pittsburgh, PA/New York, NY, 2014 – 2017

Federal Reserve Bank of Cleveland, Senior Bank Examiner ­ Supervision and Regulation Division, Pittsburgh, PA, 2012 – 2014

Thomson Reuters Corporation, Enterprise Solutions Director – Governance, Risk, and Compliance Division, Pittsburgh, PA/New York, NY, 2011 – ­2012

PNC Financial Services Group, Inc., Senior Business Risk Manager – Capital Markets, Asset and Liability Management, Pittsburgh, PA, 2008 – 2011

Wachovia Capital Markets, LLC (Now Wells Fargo Capital Markets), Business Manager – Cash Equities Sales and Position Trading, Baltimore, MD/New York, NY, 1999 – 2008

Alex. Brown and Sons, Inc., NASDAQ Position Trader, Baltimore, MD, 1991 – 1999


Bachelor of Arts, Political Science, University of Miami, Coral Gables, FL, 1990