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FINRA’s Examination and Risk Monitoring Program

SKU: SEC001
Total Credits
1 - 1.2
Price$50
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Description

Attend this session to learn about the firm grouping structure and lessons learned during implementation.

During this session, you will hear discussions around the firm grouping structure, lessons learned as a result of transformation, and what firms can expect going forward.

After attending this session, you will be able to:

  • Understand new organizational structures in the Exam, Specialist and Risk Monitoring Programs
  • Discuss Risk Monitoring activities
  • Discuss what firms can expect from the Exam Program and the Exam planning process
  • Understand the role of Specialists in Exams and Risk Monitoring

Lecturer Bios

Scott M. Gilbert, Esq.

Scott M. Gilbert is a Senior Examination Director with FINRA with responsibility for the New York District’s large firm sales practice examination program and the District’s cause examination program. From 2004 through 2013, Mr. Gilbert was employed at UBS Financial Services Inc. in various roles including Executive Director and Head of Compliance for the Wealth Management Advisor Group of UBS, with responsibility for compliance matters and policies relating to the broker-dealer’s financial advisors.

From 2006 through 2010, he was Senior Associate General Counsel and head of the group responsible for internal investigations and disciplinary recommendations at UBS. In that role, he advised the firm's management in all aspects of issues related to employee compliance with firm policies and industry rules, regulations and laws. From 2000 to 2004, Mr. Gilbert was Vice President and Senior Counsel with Merrill Lynch & Co., where he was responsible for global regulatory matters and internal investigations.

Before that, he was a trial counsel with the Division of Enforcement of the New York Stock Exchange, responsible for enforcing the rules of that self-regulatory organization, investigating customer complaints and prosecuting disciplinary actions. He also was previously a litigation attorney in private practice, with a focus on complex commercial litigation and securities class actions. Mr. Gilbert is a graduate of Columbia University and New York University School of Law.

Erin C. Vocke

Erin C. Vocke is Vice President and District Director of the FINRA Dallas and New Orleans District Offices. Ms. Vocke began her career in 1995 as an examiner in the New Orleans District Office. During this time, she conducted numerous routine and cause examinations of member firms and focused examinations in the areas of variable products and mutual funds. In January 2004, Ms. Vocke became Supervisor of Examiners, where she performed supervisory functions, including reviewing examinations and providing guidance to examiners on case development.

In August 2004, she relocated to the Florida District Office. At this time, she assumed responsibilities for supervising Continuing Membership Applications and financial surveillance of member firms, in addition to routine and cause examinations. In June 2007, Ms. Vocke transferred to the Dallas District Office as the Associate Director. In this position, she was responsible for overseeing the District Cycle, Cause, Financial Surveillance and Membership Application Programs. In February 2010, she assumed the role of District Director of the Dallas Office. In February 2014, she assumed the role of District Director in the New Orleans Office.

Ms. Vocke completed the Accelerated Development Program in 2007 and the Certified Regulatory and Compliance Professional™ (CRCP™) designation in 2003. She received a bachelor’s degree in accounting from the University of New Orleans.

Demetrios Koutros

Demetrios Koutros has been with FINRA since its inception in 2007 and was previously with the New York Stock Exchange in similar roles. In his role as Deputy Unit Leader within Member Regulation, Mr. Koutros has responsibility for the surveillance of approximately 200 firms’ compliance with financial, operational and sales practice rules. He is also involved with the rollout of FINRA’s new Risk Platform Redesign, which is utilizing a new methodology and technology to advance the surveillance of member firms.

Prior to his tenure at FINRA, Mr. Koutros worked in managerial roles at Prudential Securities, Citigroup and National Financial Services in the area of Regulatory Reporting and Operations Control. Mr. Koutros holds a bachelor’s degree from Pace University.

Yolanda Trottman-Adewumi

Yolanda Trottman-Adewumi is Senior Director, Specialist Programs in FINRA’s Member Supervision Office of Examinations and Risk Monitoring Standards. In her current role, she assumes responsibility for overseeing the existence of consistent standards and practices amongst Specialist Teams, who advise on and execute examinations, assist risk monitoring teams, develop and provide training, monitor and address industry changes and new developments in their area of specialization, and proactively develop communications and tools to help member firms address associated compliance requirements.

During her tenure at FINRA, she has also held managerial positions of responsibility within FINRA’s Examination and Risk Monitoring programs, which included the Alternative Net Capital Program, where she managed examinations of member firms approved by the Securities and Exchange Commission to compute their Net Capital pursuant to Appendix E of SEA Rule 15c3-1. She also managed a specialist team who advised on and executed Information Technology Governance and Cybersecurity controls reviews during examinations. Ms. Trottman Adewumi served as a member of FINRA’s Inaugural Diversity Leadership Council (DLC) for three years where she chaired the DLC Education, Training and Communications Subcommittee for two years and she was a recipient of FINRA’s Excellence in Service Award.

Prior to joining FINRA, Ms. Trottman-Adewumi was an Examination Director in Member Regulation at the New York Stock Exchange (NYSE) where she was responsible for the planning, coordination and management of financial, operations and supervisory sales practice compliance examinations of NYSE member firms. During her tenure, she served as a member and sub-committee chairperson of the NYSE Diversity Council from its inception in 1999 until 2006. She began her career at NYSE as an Examiner.

Ms. Trottman-Adewumi received her BS in Business Administration with a concentration in Accounting from the University of Missouri located in Columbia, Missouri and completed the Securities Industry Institute and the FINRA Excellence in Management Program(s) at The Wharton School of The University of Pennsylvania.



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