FINRA appoints Bill St. Louis as Head of Enforcement

Rick Steves

“It is a privilege to lead such a talented and expert group of Enforcement professionals who are dedicated to FINRA’s mission of investor protection and market integrity.”

FINRA has appointed Bill St. Louis as Head of Enforcement to be responsible for the management of approximately 350 enforcement staff in 11 offices across the United States.

Reporting directly to FINRA CEO Robert Cook, Bill St. Louis will replace Jessica Hopper, who departed FINRA in February 2023, and Christopher J. Kelly, Senior Vice President and Deputy Head of Enforcement, who was serving as Acting Head of Enforcement since then.

Working through regulatory opportunities and challenges ahead

Bill St. Louis as Head of Enforcement at FINRA, commented: “It is a privilege to lead such a talented and expert group of Enforcement professionals who are dedicated to FINRA’s mission of investor protection and market integrity. I look forward to strengthening FINRA’s Regulatory Operations, ensuring integrated oversight and increasing safety in the market as we advance our important work through the regulatory opportunities and challenges ahead.”

Robert Cook, CEO of FINRA, said: “Bill’s broad and deep experience at FINRA, including his previous senior roles in Enforcement and Member Supervision, and his most recent position as head of the NCFC, will serve him well as Head of Enforcement. I am confident he will bring exemplary leadership, expertise and vision to bear in his new role supporting the Enforcement department’s contributions to FINRA’s mission of investor protection and market integrity.

”I thank Chris Kelly for leading FINRA Enforcement through this transition period as well as for his commitment and contributions to the overall success of our regulatory program.”

Bill St. Louis led FINRA’s NCFC

Bill St. Louis was most recently head of FINRA’s National Cause and Financial Crimes Detection Program (NCFC), where he oversaw the NCFC team comprised of the National Cause Program, Financial Crimes Surveillance, the Financial Intelligence Unit, and specialized investigative units covering anti-money laundering and fraud, cybersecurity, high-risk representatives, and vulnerable adults and seniors.

Holding a Juris Doctorate from New York University Law School and an undergraduate degree from Baruch College, Bill St. Louis joined FINRA in 1998, initially holding several positions in the Enforcement department, including serving as Regional Chief Counsel for FINRA’s North Region.

He also served as Director of FINRA’s New York Office from 2014 to 2019 as well as Senior Vice President and Regional Director of FINRA’s Northeast Region from 2019 to 2020.

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