Julia Ulloa

Founder & Principal

JU Regulation LLC

I have worked in the regulatory arena since 2000. Most recently, I served as a Principal Regulatory Coordinator for FINRA’s Boston District Office. As a Coordinator, I managed a portfolio of 50 domestic and international district member firms. My primary responsibilities included ensuring compliance with FINRA/SEC rules and regulations with regard to sales practice, financial activity and operational risk. I also created risk-based examination planning packages that encompass FINRA’s Nine Risk Hierarchy. As primary liaison between member firms and FINRA, I maintained strategic and collaborative working relationships with assigned firms. I also provided supervisory perspective as to the overall safety and soundness of portfolio firms to FINRA management. Finally, I served as Co-Chair for FINRA’s, Latino Affinity Network (FLAN). As Co-Chair, I worked with FINRA’s Executive Management on diversity and inclusion. In January of 2018 I launched a consulting company that provides broker dealers with compliance services. I received a BA degree from Rutgers University in 2000, and an MBA from University of Maryland in 2005.

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