Senior Vice President, Member Regulation, Sales Practice Review, FINRA
Michael Rufino is Senior Vice President and Deputy of FINRA Member Regulation. Prior to the 2007 merger of NASD and NYSE Member Regulation, he was with the New York Stock Exchange for over 18 years. He spent 10 years working in the Financial/Operational Department in the Division of Member Firm Regulation conducting in-field examinations at the New York Stock Exchange before moving to the Sales Practice Review Unit as an Examination Director. In 2002, Mr. Rufino took over the Sales Practice Review Unit as its Managing Director and has since been promoted to Vice President and Senior Vice President. Mr. Rufino has taken part in many regulatory panels and seminars for the industry on Anti-Money Laundering and played a key role in creating the NYSE’s AML Examination Module and educating the NYSE examination staff on various aspects of the BSA, including the USA PATRIOT Act. Mr. Rufino was the NYSE’s representative on the Bank Secrecy Act Advisory Group (BSAAG) and continues to be an active participant in the BSAAG Securities/Futures and BSAAG SAR subcommittees. He has recently participated in the Financial Action Task Force’s (FATF) initiative on creating guidance on the risk based approach to the prevention of money laundering and terrorist financing as part of the working group undertaking this initiative. Mr. Rufino graduated, magna cum laude, from Iona College with a degree in Finance. In addition, he received his M.B.A. with honors in Management Information Systems from Iona.
Bio courtesy of FINRA.
Don't miss Michael's sessions Managing Compliance Requirements for Clearing and Introducing Firms in an Era of Increased Scrutiny and Reduced Resources and REGULATOR INSIGHTS — Avoid Penalties and Optimize Your Firm’s Defenses by Complying with the Latest AML and Fraud Regulations at the 2009 AMLAC Conference October 19-21st in NY. Hope to see you all there!
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