Elliot Henslovitz
About Elliot Henslovitz
Elliot Henslovitz serves as a Senior Director at FINRA, where he has worked since 2018. He has extensive experience in regulatory compliance and risk mitigation, with a background in law and a history of leadership roles in the financial services sector.
Current Role at FINRA
Elliot Henslovitz has been serving as a Senior Director at the Financial Industry Regulatory Authority (FINRA) since 2018. His role involves overseeing various aspects of regulatory compliance and risk mitigation within the organization. Located at 200 Liberty Street, New York, NY, he contributes to the development of compliance frameworks and regulatory policy. Henslovitz's expertise supports wealth management and global compliance initiatives, ensuring that FINRA meets its regulatory obligations.
Previous Experience at UBS Financial Services
Prior to his current position, Elliot Henslovitz worked at UBS Financial Services Inc. from 2003 to 2016. He held the role of Head of Employee Conduct & Conduct Risk and served as Senior Associate General Counsel. During his 13 years at UBS, he focused on compliance issues related to employee conduct and risk management, contributing to the firm's regulatory strategies in the Greater New York City Area.
Background in Law and Education
Elliot Henslovitz earned his Juris Doctor (JD) from the University of Miami School of Law, where he studied from 1976 to 1979. He also holds a Bachelor’s Degree in European History from Yeshiva University, where he studied from 1972 to 1976. His educational background provides a strong foundation for his career in legal and regulatory affairs within the financial services industry.
Experience at Prudential Securities
Elliot Henslovitz served as Senior Vice President and Regional Counsel at Prudential Securities from 1990 to 2003. In this role, he was responsible for legal and compliance matters, contributing to the firm's governance and risk management strategies over a 13-year period in the Greater New York City Area.
Leadership and Mentoring Skills
Elliot Henslovitz is recognized as a seasoned leader with a strong focus on recruiting, developing, coaching, and mentoring top talent. His leadership skills are evident in his ability to interface with senior governance committees and regulatory agencies, fostering a culture of compliance and ethical conduct within the organizations he has served.