Anthony V.
About Anthony V.
Anthony V. serves as the Director of the Office of Financial & Operational Risk Policy at FINRA, where he manages relationships with regulatory bodies and leads various financial projects. He has extensive experience in financial management and accounting, having held key positions at notable firms including Mirae Asset Securities and EY.
Work at FINRA
Anthony V. has been serving as the Director of the Office of Financial & Operational Risk Policy at FINRA since 2018. In this role, he facilitates quarterly meetings and information sharing with the Public Company Accounting Oversight Board (PCAOB). He manages relationships with the SEC's Office of the Chief Accountant and engages with the SEC Division of Trading and Markets regarding financial responsibility rules. His responsibilities also include advising on updates to the AICPA broker-dealer accounting guide and the AICPA practice aid on accounting and auditing of digital assets.
Education and Expertise
Anthony V. studied at Pace University - Lubin School of Business, where he earned a Combined Master of Business Administration and Bachelor of Business Administration with a focus on Public Accounting and Financial Management. He is recognized as a subject matter expert in US GAAP, PCAOB auditing standards, and SEC/FINRA financial responsibility rules for broker-dealers.
Professional Background
Before his current role at FINRA, Anthony V. held several key positions in the finance and accounting sectors. He worked at Mirae Asset Securities (USA) Inc. as Chief Financial Officer, Financial & Operations Principal, and Treasurer from 2017 to 2018. Prior to that, he was an Audit Manager at EY, focusing on Financial Services - Banking & Capital Markets from 2005 to 2012. He also served as Manager of External Reporting, Accounting Policy & Corporate Accounting at GFI Group from 2012 to 2013, and later as Director of Corporate Treasury & Global Cash Management at the same company from 2013 to 2014.
Key Projects and Initiatives
At FINRA, Anthony V. has led several significant projects, including the liquidity risk management concept release project and the exemption reporting project. He also played a crucial role in the implementation of Polaris, an internal guidance library designed to enhance operational efficiency and compliance within the organization.