Stephanie Dumont
About Stephanie Dumont
Stephanie Dumont serves as the Executive Vice President of Market Regulation and Transparency Services at FINRA, where she oversees the implementation of automated surveillance systems to detect market manipulation. With over two decades of experience at FINRA and a strong academic background in law and finance, she collaborates closely with regulatory bodies to enhance market transparency.
Current Role at FINRA
Stephanie Dumont serves as the Executive Vice President of Market Regulation and Transparency Services at FINRA. She has held this position since 2021, contributing to the organization's mission of ensuring market integrity. In her current role, she oversees the implementation of automated surveillance systems that analyze billions of market events each day. These systems are designed to detect potential market manipulation or fraud, enhancing the overall transparency of financial markets.
Previous Experience at FINRA
Before her current role, Stephanie Dumont worked at FINRA for 22 years, serving in various capacities including Senior Vice President and Director of Capital Markets Policy, as well as Vice President. During her tenure, she focused on compliance with FINRA rules and federal securities laws, collaborating closely with the SEC and exchanges. Her extensive experience at FINRA has equipped her with a deep understanding of market regulation.
Education and Expertise
Stephanie Dumont holds an LL.M. from Georgetown University Law Center, where she specialized in securities law. Additionally, she earned a Bachelor of Science (B.S.) in Finance and Management from the University of Virginia. She also obtained her Juris Doctor (J.D.) from the University of Virginia School of Law. This educational background provides her with a strong foundation in both legal and financial principles, which she applies in her regulatory roles.
Contributions to Market Regulation
In her professional capacity, Stephanie Dumont has played a significant role in the creation of the regulatory audit trail foundation within the securities markets. She is instrumental in enhancing transparency in equity and bond markets through initiatives such as TRACE and the Trade Reporting Facilities. Her efforts contribute to the overall integrity and efficiency of the financial markets.