Steven Polansky is a Senior Director in FINRA’s Member Supervision department and leads the Special Initiatives group. The group is responsible for development of FINRA’s annual risk monitoring and examination priorities letter as well as the report on examination findings. Special Initiatives also leads development of reports on topical issues; past such reports include the Report on Digital Investment Advice, Report on Cybersecurity Practices and the Report on Conflicts of Interest. Steve is also a member of FINRA’s Innovation Outreach Initiative team which monitors financial technology-related developments in the securities industry, and he co-leads the FINRA FinTech Industry Committee. Previously, Steve worked in FINRA’s International Department, where he led FINRA’s relationships with select financial regulators in Europe and Asia and as well as international advisory projects.
Prior to joining FINRA, Steve was a management consultant with PricewaterhouseCoopers, and he served for seven years as a professional staff member on the Committee on Foreign Relations in the United States Senate.
Steve received his MBA in finance from The Wharton School at the University of Pennsylvania, his MPA from the Kennedy School of Government at Harvard University and his BA in history from Colgate University.