Rosemarie Fanelli

Deputy Unit Leader, Member Regulation - Risk Oversight and Operational Regulation (ROOR), FINRA

ROSEMARIE FANELLI is a Deputy Unit Leader, Member Regulation—Risk Oversight and Operational Regulation (ROOR). In this capacity, she oversees the overall operations of surveillance program for some of the largest and most systemically important member firms for compliance with financial, operational and sales practice rules. She has been with FINRA since its inception in 2007. Prior to joining FINRA, she spent 20 years at the New York Stock Exchange in similar roles. She graduated from Manhattan College with a B.S. degree, double majoring in finance and computer information systems, holds an M.B.A. from Pace University’s Lubin School of Business, and a M.S. in Risk Management from NYU Stern.