FINRA Senior Official Steven Price Joins Fintech Finalis As Chief Compliance Officer

Steven Price, Senior Vice President (SVP) of Market Investigations at the U.S. Financial Industry Regulatory Authority (FINRA), has left the regulator to join dealmaking fintech Finalis as Chief Compliance Officer (CCO), the company announced.

Price served as SVP of Market Investigations at FINRA, overseeing investigations into trading activities, reporting and related controls across equities, options, fixed income products and security-based swaps. He previously led FINRA’s National Cause Program, which conducts reviews and investigations based on regulatory intelligence and triggering events. He rejoined FINRA in April 2020 after 12 years in roles overseeing broker-dealer compliance and operations at ALPS Distributors and ALPS Portfolio Solutions Distributor. Earlier, Price worked in FINRA’s Department of Enforcement and at the Colorado Division of Securities and served on the Colorado Securities Board. He began his career as a market maker at the Chicago Board Options Exchange and later practised litigation.