Antonio Pereira
About Antonio Pereira
Antonio Pereira serves as the Principal Analyst for Trading & Execution Risk Monitoring at FINRA, where he has worked since 2022. With over 14 years of experience in compliance and risk management across various financial regulatory bodies, he possesses extensive knowledge of regulatory laws and financial institution policies.
Work at FINRA
Antonio Pereira currently serves as Principal Analyst in Trading & Execution - Risk Monitoring at FINRA, a position he has held since 2022. He works in Kansas City, Missouri, where he focuses on compliance monitoring and risk assessment within trading operations. Prior to this role, he was an Associate Principal Examiner at FINRA from 2016 to 2022, contributing to regulatory examinations and compliance initiatives. His extensive experience at FINRA underscores his commitment to maintaining regulatory standards in the financial industry.
Previous Experience in Compliance
Before joining FINRA, Antonio Pereira worked at Gain Capital Group, LLC as a Senior Compliance Associate from 2007 to 2015. His role involved ensuring adherence to compliance regulations in both New York and London. Additionally, he served as a Senior Staff Auditor at the National Futures Association from 2001 to 2004, where he gained valuable experience in regulatory compliance and auditing. His diverse background in compliance roles has equipped him with a comprehensive understanding of financial regulations.
Education and Expertise
Antonio Pereira earned his Bachelor’s Degree from Baruch College, City University of New York (CUNY), completing his studies from 1998 to 2001. He possesses strong expertise in regulatory laws and financial institution policies, with a focus on compliance monitoring, testing, and surveillance. His knowledge extends to various financial products, including equities, alternative investments, and derivatives. He is well-versed in SEC & CFTC regulations, as well as FINRA & NFA rules.
Regulatory Knowledge and Skills
Antonio Pereira has developed a strong working knowledge of regulatory frameworks, including Dodd-Frank and AML/BSA/OFAC/KYC requirements. His experience includes conducting regulatory examinations and inquiries, as well as participating in audit initiatives. He effectively directs compliance functions, including advisory services, periodic surveillance, compliance training, and policy development. His ability to develop new compliance rules within a growing industry highlights his adaptability and expertise in the field.
Professional Background
With over 14 years of experience in compliance, risk, and auditing, Antonio Pereira has worked with two significant financial regulatory bodies. His career has included roles that emphasize compliance across various financial products and services. His experience spans multiple locations, including the Greater New York City Area and Kansas City, Missouri, reflecting his broad understanding of both U.S. and international regulatory environments.