Christopher De La Rosa
About Christopher De La Rosa
Christopher De La Rosa is a Principal Examiner at the Financial Industry Regulatory Authority, where he has worked since 2010. He previously served as a Principal Trading Investigator at NYSE Euronext and has extensive expertise in regulatory compliance within the financial industry.
Work at FINRA
Christopher De La Rosa has served as a Principal Examiner at the Financial Industry Regulatory Authority (FINRA) since 2010. In this role, he conducts regulatory investigations that focus on the sales practices of FINRA member firms, particularly in the Long Island and New York areas. His work involves assessing compliance with industry regulations and ensuring that member firms adhere to established standards. With over a decade of experience in performing sales practice examinations, he plays a crucial role in maintaining the integrity of the financial industry.
Previous Experience at NYSE Euronext
Before joining FINRA, Christopher De La Rosa worked at NYSE Euronext as a Principal Trading Investigator in the Division of Enforcement from 2004 to 2010. During his six years at this position, he was based at 14 Wall Street, New York, NY. His responsibilities included investigating trading practices and ensuring compliance with regulatory standards within the exchange. This experience contributed to his extensive knowledge of financial regulations and enforcement.
Education and Expertise
Christopher De La Rosa holds a Bachelor's degree in Finance from SUNY Old Westbury. He furthered his education by obtaining a Master of Business Administration (MBA) with a focus on Banking, Corporate, Finance, and Securities Law from Dowling College, where he studied from 1998 to 2000. His educational background, combined with his extensive expertise in regulatory compliance within the financial industry, supports his current role at FINRA.
Teaching Experience
In addition to his regulatory work, Christopher De La Rosa served as an Adjunct Professor at SUNY Farmingdale for a period of ten months in 2000 to 2001. This role involved teaching courses related to finance and regulatory compliance, allowing him to share his knowledge and experience with students in the field.
Background
Christopher De La Rosa completed his secondary education at Commack High School from 1985 to 1989. His early education laid the foundation for his subsequent studies in finance and business, leading to a career focused on regulatory compliance and enforcement in the financial sector.