Anthony Di Giovanni
About Anthony Di Giovanni
Anthony Di Giovanni serves as the Principal Examiner for Firm Exams in Trading and Executions at FINRA, where he has worked since 2022. He has a diverse background in financial services, including roles at Citigroup, Fidelity Investments, and Deutsche Bank, and holds a BA in Political Science and an MBA.
Current Role at FINRA
Anthony Di Giovanni currently serves as a Principal Examiner (Firm Exams) Trading and Executions at FINRA. He has held this position since 2022 and is based in the New York City Metropolitan Area. In this role, he evaluates compliance with regulatory requirements and examines trading practices within firms. His expertise in financial risk management is essential for effectively conducting these examinations.
Previous Experience at FINRA
Prior to his current role, Anthony Di Giovanni worked at FINRA in various capacities. He served as a Senior Examiner - Sales Practice from 2016 to 2018 and as an Associate Principal Examiner (Equities & Options) Trading and Executions from 2018 to 2021. Additionally, he held the position of Associate Principal Examiner - Sales Practice for 8 months in 2018. His diverse experience at FINRA has equipped him with a comprehensive understanding of both sales practice and trading operations.
Experience in Financial Services
Anthony Di Giovanni has extensive experience in the financial services industry. He worked at Citigroup Global Markets as an Associate Transaction Services Analyst II from 2007 to 2014 and as a Senior Analyst from 2004 to 2007. He also held a position at Deutsche Bank as an Associate - Prime Brokerage from 2014 to 2016. His background includes roles that required a deep understanding of trading and execution processes.
Educational Background
Anthony Di Giovanni holds a Bachelor of Arts degree in Political Science from Brooklyn College, which he attended from 1995 to 2000. He also earned a Master of Business Administration (MBA) from Dowling College, completing his studies there from 2009 to 2011. His educational background provides a solid foundation for his career in financial examinations and risk management.
Expertise in Financial Risk Management
Anthony Di Giovanni possesses strong expertise in financial risk management, which plays a crucial role in his responsibilities as a Principal Examiner. His ability to analyze complex securities and trading operations enhances his effectiveness in evaluating compliance and regulatory adherence within financial firms. This expertise is vital for maintaining the integrity of trading practices.