FINRA is a not-for-profit organization authorized by Congress to protect America’s investors by making sure the broker-dealer industry operates fairly and honestly.

Non Profit

FINRA

FINRA's headquarters in Washington, DC, United States

Robert W. Cook

Greg Ruppert

Derek Linden

Bill Wollman

Anonymous

Steven J. Randich

Tigran Khrimian

Robert Renner

Robert L.D. Colby

Jim Reese

Bill St. Louis

Carrie Divalerio

Kayte Toczylowski

Gloria Dalton

Gerri Walsh

Jeffrey Kalinowski

Abby Slonecker

Jacqueline Perrell

Jonathan S. Sokobin

Denise Dombay

Marcia E. Asquith

Fabiola Arredondo

Maureen Jensen

Moira A. Kilcoyne

Wendy Lanton

Peggy Ho

James T. Crowley

Samir M. Deshpande

Deborah Bailey

Jennifer Szaro

John Vaccaro

Erin Baskett

J. Bradford Eichler

Gus Sauter

Derrick Roman

Cyrus Amir-Mokri

Eric Schimpf

Erik Sirri

Stephen Luparello

Scott Curtis

The Governance and Compliance team at FINRA is responsible for ensuring that the organization adheres to regulatory standards and internal policies. This team, composed of experienced governors, oversees the development and implementation of governance frameworks, monitors compliance with legal requirements, and fosters a culture of integrity within the broker-dealer industry to protect investors and maintain market trust.

Governance and Compliance

The Regulatory and Compliance Functions team at FINRA is responsible for ensuring that the broker-dealer industry adheres to regulatory standards and best practices. This team oversees compliance strategies, conducts audits and investigations, and manages enforcement actions to protect investors and maintain market integrity. They work collaboratively to enhance corporate governance, transparency, and ethics within the organization, fostering a fair and honest financial environment.

Regulatory and Compliance Functions

The Finance and Risk Management team at FINRA is responsible for overseeing the organization's financial health and ensuring effective risk management practices. This team collaborates to develop financial strategies, enhance operational policies, and maintain compliance with regulatory standards, thereby supporting FINRA's mission to protect investors and uphold market integrity. Key roles include managing financial operations, conducting audits, and innovating financial solutions to mitigate risks.

Finance and Risk Management

The Leadership Team at FINRA guides the organization's strategic direction, ensuring its mission to protect investors is upheld through effective governance and oversight. Comprised of senior executives from various disciplines, including finance, technology, and regulatory compliance, they collaborate to develop policies, enhance investor education, and promote fair practices within the broker-dealer industry. This team plays a crucial role in shaping the future of market regulation and maintaining integrity in financial services.

Leadership Team

The Regulatory and Compliance team at FINRA is responsible for overseeing the integrity of the broker-dealer industry by ensuring adherence to regulatory standards and best practices. This team conducts investigations, manages member supervision, and provides guidance on disclosure and market activities to protect investors and maintain fair market practices. Additionally, they oversee dispute resolution and govern data management to bolster regulatory compliance across the organization.

Regulatory and Compliance

The Human Resources and Talent Management team at FINRA focuses on attracting, developing, and retaining top talent to ensure the organization operates effectively and fulfills its mission. This team drives diversity and inclusion initiatives, enhances employee engagement through learning and development programs, and manages compensation and benefits to create a supportive work environment. Additionally, they utilize people analytics to inform strategic decisions and optimize workforce performance.

Human Resources and Talent Management

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FINRA

Org chart

Board & advisors

Teams

Governance and Compliance

Regulatory and Compliance Functions

Finance and Risk Management

Leadership Team

Regulatory and Compliance

Human Resources and Talent Management

Offices

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FINRA

Org chart

Board & advisors

Teams

Governance and Compliance

Regulatory and Compliance Functions

Finance and Risk Management

Leadership Team

Regulatory and Compliance

Human Resources and Talent Management

Offices

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