Senior Director and Single Point of Accountability for Capital Markets and Investment Banking firms
- Short Bio:Laura Trotz is Senior Director and Single Point of Accountability for Capital Markets and Investment Banking firms whose primary business models are Product Origination and Wholesale and Public Finance. Ms. Trotz is responsible for overseeing the ongoing risk monitoring and assessment for these firms as well as coordinating with Examination Program Management on the execution of examinations. Ms. Trotz began her FINRA career over 20 years ago as an examiner and has held various management roles within the firm, cause, membership and surveillance programs since 2004, most recently as District Director for the Chicago District Office. She received her Finance degree from Illinois Benedictine College and holds the Certified Regulatory Compliance Professional certificate from the FINRA Institute at Wharton.