- Tennis- USTA League
- Cooking
Jennifer Giannotti
Lynbrook,NY
Summary
Experienced leader skilled at fostering an engaged and empowering work culture through active collaboration with coworkers and staff. Skilled Investigations/Examination Director with expertise in SEC Financial Responsibility Rules, sharing expert knowledge and demonstrating professional skepticism. Proven track record in effectively building and maintaining relationships with a diverse range of internal and external stakeholders.
Overview
24
24
years of professional experience
1
1
Certification
Work History
Investigations Director, Firm Cause Investigations- NCFC
Financial Industry Regulatory Authority (FINRA)
01.2020 - Current
- Supervise over 150 investigations alleging sales practice, financial and operational (“FINOP”) misconduct by FINRA member firms and their associated persons
- Review and approve staff’s investigative work to determine disposition of violations of FINRA and SEC Rules
- Specialized knowledge in SEC’s Financial Responsibility Rules such as: SEA Rules 15c3-1, 15c3-3, 17a-3, and 17a-4
- Work collaboratively with internal and external parties including Enforcement attorneys, Risk Monitoring, SEC and various states’ regulatory agencies to share information and firm trends
- Represent FINRA at speaking engagements and industry events and share FINOP subject matter expertise through hands on training and presentations
- Manage staff performance by providing timely feedback
- Mentor to FINRA employees providing career advice
- Participate in recruitment of investigator and investigations manager positions
Examination Director, Member Regulation- ROOR
Financial Industry Regulatory Authority (FINRA)
09.2007 - 12.2019
- Provided technical support and guidance to teams of examiners conducting both cycle and cause examinations focused on SEC’s Financial Responsibility Rules and FINRA Rules governing net capital and margin
- Developed and managed schedule for cycle examinations of FINRA’s largest and most complex member organizations
- Work collaboratively with various groups within FINRA, member firms, and other self-regulatory organizations to execute risk-based exam plans
- Evaluated Risk Assessments of member firms to identify risk reviews for both Cycle and Cause examinations
Principal Examiner, Member Firm Regulation
The New York Stock Exchange, Inc.
01.2002 - 09.2007
- Conducted annual financial, operational and sales practice examinations of broker dealers to ensure compliance with Federal and Exchange regulations
- Presented results of examination visits to member firm and Exchange management
- Analyzed financial reports of members and member organizations to verify that their capital positions are in compliance with Exchange and SEC rules and regulations
- Verified accuracy of member firms’ weekly customer reserve formula as mandated by SEC Rule 15c3-3
- Managed, lead and supervised teams of examiners through all stages of examination process
- Prepared reports of examinations to disclose examination findings to senior management of member firms
- Provided continuous training and assistance to less experienced examination staff
- Evaluated examination team members by providing both oral and written performance appraisals
Finance Coordinator, Member Firm Regulation
The New York Stock Exchange, Inc.
12.2000 - 12.2001
- Analyzed the financial and operational condition of 18 member firms through systematic review and surveillance of FOCUS Reports, Annual Audits, Subordinated Loans, Exception Reports and other regulatory filings
- Produced comprehensive risk assessment planning packages that addressed apparent risks and required scope objectives relative to annual examinations of member organizations
- Prepared written Enforcement Referrals and Alert Reports for review and approval by the management committee
- Assisted in review and approval of legal documents relative to mergers and/or acquisitions of member organizations
- Acted as liaison between member organizations and Exchange senior management
Education
Bachelor of Business Administration - Accounting
Bernard M. Baruch College, CUNY
New York, NYSecurities Industry Institute - Excellence in Leadership Development
University of Pennsylvania, The Wharton School
Philadelphia, PASkills
Accomplishments
- Consistently rated a “distinguished/high” contributor in either Job Goals/Functions and/or Values and Behavior throughout my career.
- Directed several high-profile Cause investigations including reviews of Archegos; FTX; Synapse; APEX Fully Paid Lending and multiple Coordinated Regulatory Response Program (“CRRP”) firms.
- Collaborated with multiple departments and actively participated in numerous projects and committees sharing my thoughts and ideas in support of the groups’ mission.
Certification
Series 27- Financial and Operations Principal Exam (Pass)
Interests
Timeline
Investigations Director, Firm Cause Investigations- NCFC
Financial Industry Regulatory Authority (FINRA)
01.2020 - Current
Examination Director, Member Regulation- ROOR
Financial Industry Regulatory Authority (FINRA)
09.2007 - 12.2019
Principal Examiner, Member Firm Regulation
The New York Stock Exchange, Inc.
01.2002 - 09.2007
Finance Coordinator, Member Firm Regulation
The New York Stock Exchange, Inc.
12.2000 - 12.2001
Series 27- Financial and Operations Principal Exam (Pass)
Bachelor of Business Administration - Accounting
Bernard M. Baruch College, CUNY
Securities Industry Institute - Excellence in Leadership Development
University of Pennsylvania, The Wharton School
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