Ornella Bergeron is a Senior Vice President in Member Supervision, responsible for leading FINRA’s Risk Monitoring Program. The Risk Monitoring team is a member firm’s primary contact point at FINRA. Through its ongoing and proactive monitoring, Risk Monitoring enables FINRA to implement a risk-based program that effectively focuses its resources and regulatory responses on risks of concern. To focus expertise of staff and in recognition of member firms different business lines, the Risk Monitoring team is organized around the following business models: Retail, Diversified, Carrying and Clearing, Capital Markets, and Trading & Execution. Ms. Bergeron and her team serve FINRA by providing a consistent awareness and analysis of member firms which includes the assessment of financial, operational, business conduct, and trading risks. They are also responsible for coordinating with FINRA’s Examination Program Management team on the strategy and execution of examinations for member firms.
Prior to this role, Ms. Bergeron was a Unit Leader in the Risk Oversight and Operational Regulation group of Member Supervision. She was responsible for the regulatory supervision as well as financial and operational examinations of approximately 200 of FINRA’s largest member firms. She has been with FINRA since its inception in 2007. Prior to joining FINRA, Ms. Bergeron spent 19 years in the Division of Member Firm Regulation at the New York Stock Exchange in Risk Monitoring management and examination roles.
Ms. Bergeron serves on internal committees governing changes to Member Supervision’s Risk Monitoring program and is an ambassador of FINRA’s Diversity Leadership Council.
Ms. Bergeron holds a BBA in Finance from Iona College.