Glenn Rose
About Glenn Rose
Glenn Rose is a Principal Examiner at FINRA, where he has worked since 2014, focusing on compliance and regulatory investigations. He has a background in options trading and product development, with previous roles at the American Stock Exchange and experience in the aviation industry.
Work at FINRA
Glenn Rose has served as a Principal Examiner at FINRA since 2014. In this role, he develops test strategies and plans for system verification to ensure compliance with exchange trading rules. His responsibilities include conducting 'For Cause' and 'Sweep' investigations, focusing on potential violative activities within the trading environment. Rose utilizes computer resources and software applications for data analysis in regulatory investigations, contributing to the integrity of the financial markets.
Experience at American Stock Exchange
Prior to his tenure at FINRA, Glenn Rose worked at the American Stock Exchange for over a decade. He held the position of Director of Product Development from 1997 to 2008, where he was involved in various aspects of trading system development. Additionally, he worked as an Options Market Maker and Specialist Clerk on the trading floor, gaining extensive experience in options, equity, and ETF trading.
Leadership at CMIT Solutions
Glenn Rose served as President of CMIT Solutions of Chelsea/Flatiron for one year, from 2010 to 2011. In this leadership role, he was responsible for overseeing operations and driving business strategies within the company. His experience in this position contributed to his overall expertise in vendor management and operational oversight.
Aviation Industry Background
Before transitioning to the financial sector, Glenn Rose spent nine years in the aviation industry as an aircraft mechanic. He worked with notable companies such as Sikorsky Aircraft and Pan Am Airlines, primarily focusing on helicopters. This background provided him with technical skills and knowledge that have been beneficial in his subsequent roles in finance and regulatory compliance.
Education and Expertise
Glenn Rose studied at Embry-Riddle Aeronautical University, where he focused on Aircraft Maintenance Technology. He achieved an Associate degree and obtained an Aircraft/Powerplant license from 1978 to 1980. This educational foundation laid the groundwork for his extensive experience in the aviation industry and later in financial services, particularly in trading system development and regulatory compliance.