Summary
Overview
Work History
Education
Skills
AWARDS, RECOGNITION & EXECUTIVE EDUCATION
Timeline
Generic

Debra Jastredowski

Valley City,OH

Summary

Accomplished Sr. Director at FINRA, adept in collaborative leadership and strategic planning, significantly enhanced operational efficiency and team performance. Spearheaded transformative projects and policy development, demonstrating exceptional verbal and written communication skills. Notably co-led sweeps and thematic reviews, achieving impactful enforcement referrals. Managed a $5M+ budget, fostering a culture of continuous improvement and professional growth.

Overview

30
30
years of professional experience

Work History

Sr. Director, Investigations, National Cause

FINRA
04.2020 - Current
  • Developed high-performing teams by providing mentorship, guidance, and opportunities for professional growth.
  • Established a culture of continuous improvement by fostering open communication channels and empowering employees to voice their ideas.
  • Strategically demonstrated the need for a dedicated team to review Financial and Operational risks consisting of a manager and four investigators.
  • Recommended NCP create a new Analyst job family to allow investigators to focus on their investigations. Has resulted in time efficiencies, consistency in analysis, and more effective investigators focused on investigating.
  • Successfully led the non-retail team through initial transformation of NCP in early 2020.
  • Routinely participate as speaker on industry panels and was panelist for joint SEC/FINRA training in 2023 (MS Goal for 2023).
  • Co-led three sweeps (Options, Finfluencer, SPAC) beginning in 2021 resulting in numerous enforcement referrals and guidance issued to the Membership.
  • Co-led several thematic reviews – fully paid lending, GWG L bonds, non-traditional ETPs, meme stonks, Form CRS, and off-channel communications.
  • Responsible for funding portal and crowdfunding cause investigations for NCP beginning in 2023 (previously reviewed by firm exam/risk monitoring). Led team through this change and ensured proper training.
  • Strong collaborator across FINRA to include Enforcement, Member Firm Exam, Risk Monitoring, MRTS, Data Analytics, Corporate Finance, and Advertising, among others.
  • Leadership Team Member – Enforcement Digital Transformation and RegOps Investigations (SME).
  • Directly Responsible Individual representing Member Supervision (MS) for Unified Case File project and was responsible for system adaptation, development of policies and procedures, training, communication plan and rollout across MS.
  • Member of BD/IA Hub and Exception Guidance Group.
  • Represent NCFC on FINRA’s 4111 Governance Team – work with senior leaders in determining firm restrictions.
  • Past member of EGG Governance Team (group was retired).
  • Mentor to three individuals (one Director and two high performing individuals within MS).
  • Successfully recommended NCP obtain licensing for CFIS, which allows for uploading of .pdf files and conversion to Excel or .csv for data analysis resulting in significant efficiencies across NCP.
  • Recommended and sponsor of NCP Future Leaders Program 2021 through 2023. Several program participants have taken on greater responsibility in leadership roles.
  • Managed budget of approximately $5,000,000 annually to effectively ensure optimal use of resources while maintaining financial stability.

Associate Director, Regional Cause

FINRA
06.2015 - 04.2020
  • Led teams of up to 19 personnel engaged in approximately 550-600 ongoing investigations, supervised daily performance as well as training and improvement plans.
  • Prioritized tasks and allocated resources appropriately to keep teams focused and productive.
  • Assisted senior leadership in managing all aspects of operations across the South Region.
  • Proven leader and team player with excellent communication skills.
  • Champion of collaboration between investigation managers, investigators, and surveillance to assess member firm risk.
  • Team supervised consistently referred approximately 100 matters to Enforcement annually.
  • Responsible for regular reporting upwards to Directors and Regional Director status of Regional programs.
  • Regularly engaged in conversations with SEC and State regulators concerning matters of interest.
  • Business side leader of the national Cause Transformation project responsible for: creation and implementation of MR Triage for Risk Assessments; creation and implementation of cause investigations in Examination Workspace; COMPASS procedures re-write; portal page redesign; staff communications regarding changes; and development and delivery of all training.
  • Active participant of the Cause Householding project directly responsible for: development of communications concerning project to be delivered to staff, Enforcement, FEC, States, and SEC.

Associate Director

FINRA
03.2011 - 06.2015
  • Led teams of up to 23 personnel, supervising daily performance as well as training and improvement plans.
  • Responsible for execution of member firm meetings, staff training and development, staff continuing education, and recruiting. Assisted Director with managing district budget.
  • Co-managed two national and regional initiatives: Consolidated Statements and Independent Contractor Model (spoke on a recorded panel discussion for membership).
  • Lead role in coordination and implementation of regional investigative conferences, staff meetings, manager’s meetings, and South Region Compliance Seminar (2011 and 2014).
  • Actively led regional Communications Committee including the development of the regional Newsletter, BAND Together.
  • Team member responsible for writing Regulatory Notice 13-31 regarding Suitability.

Examination Manager

FINRA
06.2006 - 03.2011
  • Responsible for direct supervision of up to 12 personnel.
  • Engaged in field work and reviewed high volume of routine examinations in a timely manner while ensuring high quality work product.
  • Developed and ensured implementation of performance management goals and talent management plans.
  • Routinely responsible for development of materials presented at member meetings and participated as a speaker.
  • Engaged in recruitment efforts of the District including attending job fairs and interviewing candidates.
  • Active participant of District Ahead of the Curve Group, Exam Management System (EMS) development team, and Employee Engagement Focus Group.

Examiner - Principal Examiner

FINRA
08.1996 - 06.2006
  • Conducted investigations of customer complaints, terminations for cause, 3070 disclosure events, and arbitration referrals. Performed initial review of TC’s, CC’s and 3070’s to determine if an investigation was appropriate and subsequently assigned to examiners.
  • Performed on-site examinations of member firms while working independently and as a group member to prepare reports of examination.
  • Actively involved with the cross training of examiners and served as a mentor to several examiners.
  • Member of the INSITE team that developed the Trading and Financials EET examination elements.

Compliance Analyst

National City Corporation
11.1998 - 04.1999
  • Responsible for 13 OSJ offices in Michigan, Indiana and Illinois and conducted on-site branch reviews. Conducted daily reviews of P & S blotter for the 13 OSJ offices and all exception reports.
  • Handled review and response to customer complaints, negotiated settlements and executed settlement agreements.

Analyst II

Key Services Corporation
09.1995 - 08.1996
  • Responsible for daily oversight of eight employees handling institutional settlements.
  • Handled the commission process: balancing with FOCUS report, posting of entries, and preparing spreadsheet for data entry. Responsible for billing remarketing fees and organized the process by creating a worksheet for Public Finance, significantly decreasing billing errors and improved the speed of the process.
  • Assisted with the Key Capital Markets, Inc. Section 20 conversion project.

Registered Representative

First Investors Corporation
01.1994 - 05.1995
  • Assisted individuals and small businesses with investments utilizing mutual funds, annuities and engaged in sales of life insurance.
  • Responsible for recruiting, training, and mentoring new hires during their training period.

Education

Bachelor of Science - Management

Purdue University
West Lafayette, IN

MBA - Finance

Kent State University
Kent, OH

Skills

  • Collaborative Leadership
  • Culture Transformation
  • People and Team Management
  • Policy Development and Implementation
  • Strategic Planning
  • Verbal and Written Communication
  • Project Management

AWARDS, RECOGNITION & EXECUTIVE EDUCATION

President’s Award, 1999

Excellence in Service Award, 2006

Outstanding Achievement Award, 2008 (2), 2009, 2013, 2014

Above and Beyond Award, 2008, 2009, 2010

Employee Recognition Awards, 2004, 2005 (2)

FINRA Excellence in Management Program at Wharton, 2014

Building and Leading Effective Teams, Columbia Business School, 2021

Georgetown Analytics for Leaders, 2024

Timeline

Sr. Director, Investigations, National Cause

FINRA
04.2020 - Current

Associate Director, Regional Cause

FINRA
06.2015 - 04.2020

Associate Director

FINRA
03.2011 - 06.2015

Examination Manager

FINRA
06.2006 - 03.2011

Compliance Analyst

National City Corporation
11.1998 - 04.1999

Examiner - Principal Examiner

FINRA
08.1996 - 06.2006

Analyst II

Key Services Corporation
09.1995 - 08.1996

Registered Representative

First Investors Corporation
01.1994 - 05.1995

Bachelor of Science - Management

Purdue University

MBA - Finance

Kent State University

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Debra Jastredowski