Alison Lo Presti
About Alison Lo Presti
Alison Lo Presti serves as the Associate Director of the Trading Specialist Group at FINRA, where she has worked since 2020. She focuses on compliance with the Market Access Rule and collaborates with regulatory bodies while providing training and support to staff.
Work at FINRA
Alison Lo Presti serves as the Associate Director of the Trading Specialist Group at FINRA, a position she has held since 2020. In this role, she collaborates with the SEC and US Securities Exchanges to enhance compliance with the Market Access Rule. She also monitors trends that may affect member firms' compliance and provides training and support to Risk Monitoring and Exam Staff. Prior to her current role, she worked as the Associate Director of Trading Examinations at FINRA from 2017 to 2020.
Education and Expertise
Alison Lo Presti earned a Bachelor of Science degree in Finance from West Virginia University, where she studied from 1998 to 2002. She also attended the Academy of the Holy Cross from 1994 to 1998. Her educational background provides a strong foundation for her expertise in trading and compliance within the financial industry.
Background
Alison Lo Presti has a background in finance and compliance, with significant experience in the regulatory environment. Her career at FINRA has involved various roles that focus on trading examinations and compliance with market regulations. This experience has equipped her with the knowledge necessary to navigate complex regulatory frameworks.
Achievements
Alison Lo Presti participates in panel discussions at conferences, where she educates member firms on effective practices related to the Market Access Rule. Her involvement in these discussions highlights her commitment to enhancing industry standards and compliance practices among financial institutions.