David Sarubbi
About David Sarubbi
David Sarubbi serves as the Associate Principal Risk Specialist at FINRA - AEP, where he has worked since 2020. He holds a Bachelor's degree in Finance and an MBA from the University at Buffalo, and has extensive experience in risk management and analysis.
Work at FINRA
David Sarubbi serves as an Associate Principal Risk Specialist at FINRA - AEP, a position he has held since 2020. In this role, he is responsible for developing and implementing automation projects aimed at enhancing risk identification processes. He presents potential aggravating risk factors to examination staff and management teams, ensuring that critical information is communicated effectively. Additionally, he communicates data transmission requirements and establishes submission deadlines with broker dealers. Sarubbi leads cross-functional teams to improve risk identification strategies, contributing to the organization's overall risk management framework.
Education and Expertise
David Sarubbi earned his Bachelor Degree in Finance from the University at Buffalo School of Management, The State University of New York, completing his studies from 2009 to 2011. He later pursued a Master of Business Administration (MBA) at the same institution, achieving a GPA of 3.75/4.0 from 2013 to 2016. His educational background provides a strong foundation in finance and business management, which he applies in his current role at FINRA.
Background
Before joining FINRA, David Sarubbi accumulated extensive experience in the financial sector. He worked at M&T Bank as a Treasury Operations Business and Planning Analyst IV from 2011 to 2017, focusing on back office and middle office operations. Following this, he served as a Business Analyst and Project Manager at Citi for one year in 2017-2018. He then transitioned to Dixon Hughes Goodman LLP as a Senior Consultant from 2018 to 2020. This diverse background in finance and risk management has equipped him with the skills necessary for his current position.
Professional Experience
David Sarubbi has held various roles in the finance industry that have contributed to his expertise in risk management. His tenure at M&T Bank involved critical operations in treasury management, while his role at Citi as a Business Analyst and Project Manager allowed him to develop project management skills. At Dixon Hughes Goodman LLP, he worked as a Senior Consultant, further enhancing his analytical capabilities. This professional journey has been instrumental in shaping his approach to risk identification and management at FINRA.