FINRA's Risk Monitoring team is responsible for assessing financial, operational and business conduct risks that exist within individual member firms and across the industry. But they're also the day-to-day point of contact for firms for any questions they may have for FINRA. 

On today's episode, we're talking to Ornella Bergeron, Senior Vice President of Member Supervision's Risk Monitoring team, Brian Kowalski, Vice President of Diversified and Carrying & Clearing with the Risk Monitoring team, and Andrew McElduff, Vice President of Retail with Risk Monitoring learn more about the team’s mandate and work and why they’re such a resource for the member firms they work with.

Resources mentioned in this episode:

Reg Notice 22-25: FINRA Alerts Firms to Recent Trend in Small-Cap IPOs

Reg Notice 22-29: FINRA Alerts Firms to Increased Ransomware Risks

15a-6 Chaperone Firms (from 2021 Exam and Risk Monitoring Report)

Episode 90: Single Points of Accountability

FINRA Gateway

FINRA Examination and Risk Monitoring Programs

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