2020 was a year of great change and transition for FINRA’s Exam and Risk Monitoring Program—and the pandemic wasn’t even the start of it. 

On this episode, the first in a two-part series, we hear from Ornella Bergeron, senior vice president of the carrying and clearing and diversified firm groups; Tom Nelli, senior vice president of exams and standards; Bill St. Louis, senior vice president of the retail and capital markets firm groups; and Tim Thompson, senior vice president of the trading and execution firm group on how the program fared in its first year after a major transformation.

Resources mentioned in this episode:

Episode 50: What to Expect: The 2020 Exam and Risk Monitoring Program

Episode 49: A Career Highlight: Exam and Risk Monitoring Program Transformation Update

FINRA Announces Senior Leadership Team Under New Examination and Risk Monitoring Program Structure

Note: The audio was updated on Thursday, March 25, 2021, for clarity.

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