Carlos Araya
About Carlos Araya
Carlos Araya serves as a Principal Examiner at FINRA, where he has worked since 2018, following a decade of experience in the financial industry. He holds a B.B.A. in Finance from Baruch College and possesses extensive expertise in managing operations within brokerage and trading firms, particularly in the futures and options markets.
Work at FINRA
Carlos Araya has been employed at the Financial Industry Regulatory Authority (FINRA) since 2014. He initially served as an Associate Principal Examiner for a period of ten years before advancing to the role of Principal Examiner in 2018. In his current position, he operates in the Greater New York City Area, focusing on regulatory oversight and examination of brokerage and trading firms, particularly in the futures and options markets.
Education and Expertise
Carlos Araya earned a Bachelor of Business Administration (B.B.A.) degree in Finance from Baruch College. His educational background supports his extensive expertise in managing operations within brokerage and trading firms. He holds a Series 3 certification, which demonstrates his proficiency in commodities and futures trading, and he is skilled in technical analysis.
Background
Before joining FINRA, Carlos Araya worked at J.P. Morgan as a Vice President in the ETF department from 1995 to 1998. He also held a position at AIG as an Associate from 1993 to 1995. His professional history includes significant experience in the futures and options markets, particularly with CME, NYMEX, and ICE OTC brokerage.
Achievements
Carlos Araya specializes in the execution and brokerage of crude oil, including WTI and Brent products, as well as natural gas. He has extensive experience with various futures products, including outrights, spreads, strips, switches, EFS, and EFP. Additionally, he is knowledgeable in handling a range of options, such as vanilla, CSO, APO, and SDO, across both American and European markets.