Peter Cortese
About Peter Cortese
Peter Cortese serves as a Principal Examiner at the Financial Industry Regulatory Authority (FINRA), where he leads compliance examinations for major exchanges and evaluates compliance programs. He has extensive experience in accounting and regulatory reporting, having worked in various roles within the financial industry since the late 1980s.
Work at FINRA
Peter Cortese has served as a Principal Examiner at the Financial Industry Regulatory Authority (FINRA) since 2010. In this role, he communicates examination findings and recommendations to senior management of member organizations. He leads compliance examinations for major exchanges, including NYSE, NASDAQ, and Cboe Exchange. His responsibilities also include evaluating Anti-Money Laundering and Insider Trading compliance programs for these organizations. Additionally, he supervises and trains new examiners, contributing to their professional development within the organization.
Education and Expertise
Peter Cortese holds a Bachelor of Science (BS) degree in Accounting and Business/Management. He studied at Kean University and the City University of New York (CUNY) from 1993 to 1998. His educational background provides a strong foundation for his work in financial regulation and compliance. His expertise is further demonstrated through his leadership in compliance examinations and his role in training new examiners.
Background
Peter Cortese's professional background includes significant experience in the financial services industry. He worked at Drexel Burnham Lambert as a Financial Services professional from 1987 to 1990. He then transitioned to Merrill Lynch, where he focused on Regulatory Reporting from 1999 to 2006. Following this, he served as a Senior Staff Accountant at Tullett Prebon from 2006 to 2010. This diverse experience has equipped him with a comprehensive understanding of regulatory compliance and financial operations.
Professional Experience
Peter Cortese has accumulated extensive experience in the financial sector over several decades. His tenure at Merrill Lynch lasted seven years, where he specialized in regulatory reporting. He then spent four years at Tullett Prebon as a Senior Staff Accountant. His early career included a role at Drexel Burnham Lambert, providing him with a broad perspective on financial services and compliance. This varied experience has contributed to his current role at FINRA.