Brian Slomiak
Market Investigations Director FINRA
- Role
- Market Investigations Director Reporting & Disclosures at FINRA
- Location
- New York, NY, US
- LinkedIn followers
- 500 followers
Experience
Market Investigations Director Reporting & Disclosures
Sep 2023 — Present · New York, NY, US
Lead a team investigating potential violations of exchange rules and securities laws, including Trade Reporting, CAT Compliance, Short Interest, SEC Rule 605/606, Options 17d-2, and Electronic Blue Sheets. Ensure quality and accuracy in findings, expand regulatory programs by identifying trends, and provide strategic feedback. Communicate investigation progress to senior management, develop resolution plans, liaise with exchange clients, and collaborate with Enforcement for informed decision-making.
Education
Binghamton University
BS, Biology and Anthropology
1991 — 1995
Skills
- Equity Trading
- Insurance
- Series 24
- Real Estate
- Project Management
- Financial Services
- Data Analysis
- Financial Markets
- Trading
- Trading Systems
- Portfolio Management
- Contract Negotiation
- Capital Markets
- Series 7
- Investments
- Securities Regulation
- Securities
- Public Speaking
- Series 63
- Mutual Funds
- Budgets
- Finance
- Risk Management
- Negotiation
- Due Diligence
- Hedge Funds
- Asset Management
- Fixed Income
- Aml
- Equities
- Options
- Finra
- Strategic Planning
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