• Tom Nelli will lead the teams responsible for executing examinations, setting standards across the firm groupings, and quality assurance testing.
• Ornella Bergeron will lead teams for the carrying and clearing and diversified firm groups.
• Bill St. Louis will lead teams for the retail and capital markets firm groups.
• Tim Thompson will lead teams for the trading and execution firm group. He will remain a part of market regulation's trading and financial compliance examination team, working closely with Havlik and the member supervision team, Finra said.
Mike Rufino, executive vice president, will continue to serve as a senior advisor, with a focus on investor protection issues, and will report directly to Havlik, Finra said.
Bill Wollman, executive vice president, will lead a new Office of Financial and Operational Risk Policy within Finra's Office of General Counsel, reporting to Chief Legal Officer Robert Colby while also continuing to coordinate closely with member supervision, Finra said.
Finra announced in August that Cam Funkhouser, executive vice president of the Office of Fraud Detection and Market Intelligence, would be retiring at the end of this year. In his place, Finra said it searching for someone to fill the newly created role of heading its National Cause and Financial Crimes Detection Programs.