William St. Louis


Senior VP and Senior Regional Director for the North Region

FINRA


Bill St. Louis is a Senior Vice President and Firm Group Leader for FINRA member firms assigned to the Retail and Capital Markets firm groupings. In this capacity, he has responsibility for the Single Points of Accountability and Risk Monitoring Program teams for these firms, which includes the assessment of business conduct, financial, operational and trading risks.  He and his team are also responsible for examination strategy for these firms, as well as coordination with Examination Program management on the execution of related examinations.  He also oversees FINRA’s High Risk Representative Program, and FINRA’s Membership Application Program (MAP).  Bill is a member of FINRA’s Diversity Leadership Council.

Prior to his current role, Bill was the Regional Director for FINRA’s Northeast region, District Director of FINRA’s New York office, and held senior roles in FINRA’s Enforcement Department including serving as the Regional Chief Counsel for FINRA’s North Region.

Bill earned an undergraduate degree from Baruch College and a law degree from New York University School of Law. Prior to law school he worked for several years in the Compliance Department of a NY-based broker-dealer.


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