Patricia Bergholc
About Patricia Bergholc
Patricia Bergholc serves as the Senior Director of Market Regulation at the Financial Industry Regulatory Authority (FINRA), where she leads efforts in broker-dealer compliance and market surveillance. With extensive experience in regulatory oversight, she has held various roles in the financial sector, focusing on enhancing market oversight capabilities and ensuring adherence to industry regulations.
Work at FINRA
Patricia Bergholc has served as Senior Director of Market Regulation at the Financial Industry Regulatory Authority (FINRA) since 2010. In this role, she oversees trading surveillance, which includes monitoring trading activities to identify and prevent market manipulation. Her responsibilities also encompass conducting examinations to ensure compliance with regulatory standards. Bergholc has been instrumental in implementing systems that integrate new technologies to enhance regulatory processes.
Background in Compliance and Regulation
Patricia Bergholc has extensive experience in compliance and regulatory roles within the financial industry. Prior to her current position at FINRA, she worked at the New York Stock Exchange as Director of Market Surveillance from 2005 to 2010. Earlier in her career, she held positions at CIBC Capital Markets as Executive Director of U.S. Equities Compliance and at Commonwealth Associates as Compliance Coordinator/Operations Manager. Her career spans over two decades in the Greater New York City Area.
Expertise in Broker-Dealer Operations
Bergholc demonstrates leadership in broker-dealer operations, focusing on compliance with industry regulations. She specializes in 15c3-5 Compliance, which involves implementing risk management controls for brokers or dealers with market access. Her expertise extends to conflict of interest reviews, ensuring that personal interests do not interfere with professional duties. This focus on regulatory risk and compliance is a hallmark of her career.
Achievements in Market Oversight
Throughout her career, Patricia Bergholc has contributed to the development of surveillance systems aimed at enhancing market oversight capabilities. Her work involves managing regulatory relations and responding to inquiries from regulatory bodies. She has a strong track record of guiding teams to achieve regulatory objectives and ensuring adherence to compliance standards across various organizations.