Carolina Alexander
About Carolina Alexander
Carolina Alexander serves as the Director of Trading Analysis at FINRA, where she has worked since 2017. She has extensive experience in trading analysis and regulatory compliance, having held various roles within FINRA and previously at T. Rowe Price.
Current Role at FINRA
Carolina Alexander serves as the Director of Trading Analysis at FINRA, a position she has held since 2017. In this role, she directs three teams focused on investigating complex manipulative trading strategies, including algorithm gaming and ATS manipulation. Her responsibilities include overseeing the analysis of trading activities to detect and prevent manipulative practices, such as wash trading and pre-arranged trading. Carolina's leadership is critical in ensuring the integrity of trading practices within the financial industry.
Previous Experience at FINRA
Prior to her current role, Carolina Alexander held several positions at FINRA. She worked as an Assistant Director in Trading Analysis from 2014 to 2017, and as a Manager in Trading Analysis from 2012 to 2014. Earlier in her career at FINRA, she served as a Senior Investigator on the Trading Analysis Investigative Team from 2010 to 2012, and as a Regulatory Analyst focusing on Trading Practices from 2007 to 2010. Her extensive experience at FINRA has equipped her with a deep understanding of regulatory compliance and trading analysis.
Education and Certifications
Carolina Alexander earned her Bachelor of Science in Marketing from the University of Maryland's Robert H. Smith School of Business, where she studied from 2001 to 2005. She also obtained the Certified Regulatory and Compliance Professional (CRCP) designation from the Wharton School at the University of Pennsylvania in 2014. Her educational background provides a strong foundation for her work in trading analysis and regulatory compliance.
Early Career at T. Rowe Price
Before joining FINRA, Carolina Alexander worked at T. Rowe Price in various roles. She began as an Investment Services Associate in Retail Services from 2005 to 2006, followed by a position as a Client Manager in the Personal Services Group from 2006 to 2007. Her experience at T. Rowe Price contributed to her understanding of client services and investment management.
Expertise in Trading Analysis
Carolina Alexander has been instrumental in leading investigations into advanced trading manipulations, such as layering and spoofing, since 2017. Her expertise in trading analysis allows her to effectively oversee the detection and prevention of manipulative trading practices. This includes directing teams that analyze trading activities to ensure compliance with regulatory standards.