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FINRA Has Appointed Bill St. Louis As Head Of Enforcement

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FINRA Has Appointed Bill St. Louis As Head Of Enforcement

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The Financial Industry Regulatory Authority announced it has appointed Bill St. Louis as the head of enforcement, effective immediately.

According to a FINRA release, the executive vice president most recently served as the head of FINRA’s National Cause and Financial Crimes Detection Program (NCFC). St. Louis will lead more than 300 enforcement officers and staff in 11 offices nationwide in his new role. St. Louis will report directly to FINRA CEO Robert Cook.

In a statement, Cook called St. Louis a valued company member.

“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,” said Cook.

St. Louis has been with FINRA since 1998, when he served as regional chief counsel for FINRA’s North Region. He has also held several positions in the Enforcement Department. The Baruch College and the New York University Law School alum also served as the director of FINRA’s New York office from 2014 to 2019 and as the senior vice president and regional director of FINRA’s Northeast Region from 2019 to 2020.

Most recently, St. Louis oversaw the NCFC team comprised of the National Cause Program, Financial Crimes Surveillance, the Financial Intelligence Unit, and specialized investigations units covering anti-money laundering and fraud, cybersecurity, high-risk representatives, and vulnerable adults and seniors.

“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,” St. Louis said in a statement. “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.”

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