Lawrence (Lance) Harasym
About Lawrence (Lance) Harasym
Lawrence (Lance) Harasym serves as the Principal Examiner for Capital Markets at FINRA, where he focuses on risk-based examinations of M&A and Capital Acquisition Broker member firms. He has a strong background in compliance and ethics from his previous role at BNY Mellon and holds multiple regulatory licenses.
Current Role at FINRA
Lawrence Harasym serves as a Principal Examiner in the Capital Markets division at FINRA since 2022. In this role, he conducts and manages risk-based examinations of mergers and acquisitions (M&A) and Capital Acquisition Broker (CAB) FINRA member firms. His responsibilities include ensuring compliance with regulatory requirements while balancing the needs of executive management to meet enterprise goals.
Previous Experience at BNY Mellon
Before joining FINRA, Lawrence Harasym worked at BNY Mellon as the Director of Compliance & Ethics from 2018 to 2021. His tenure in Lake Mary, Florida, involved overseeing compliance frameworks and ethical standards within the organization. This experience contributed to his extensive knowledge of regulatory practices and compliance management.
Education and Qualifications
Lawrence Harasym holds a Doctor of Law (J.D.) degree from Thomas Jefferson School of Law, where he studied from 1991 to 1994. He also earned a Bachelor of Arts (B.A.) in Sociology from Loyola Marymount University between 1987 and 1991. Additionally, he completed Canadian registration through CSI courses, including the Partners, Directors and Senior Officers Course, and holds FINRA Series 79 and 99 licenses.
Regulatory Expertise
Lawrence Harasym possesses a comprehensive understanding of SEC, FINRA, and IIROC rules and regulations, particularly regarding broker-dealer regulatory requirements. He is registered with IIROC as an Executive, Non-Trading, which further enhances his expertise in the field. His role involves participating in national projects to identify notable trends in the securities industry.
Skills and Competencies
Lawrence Harasym utilizes strong organizational, planning, communication, and management skills to enhance regulatory compliance efficiency. His ability to balance executive management needs with regulatory requirements is a key aspect of his professional approach, ensuring that compliance processes align with enterprise objectives.