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Trish L. Griffin

Trish L. Griffin

Manager- Regulation-Office of the Chief Regulatory Officer, Regulatory Services, SRO Compliance

CBOE / FINRA

Greater Chicago Area, us

Successful and proven track records in the Financial Services Industry: Securities, Regulation, Compliance, Executive Management, Trading, IPO Syndicate, Options, Banking and Federal Regulatory Compliance, Audit and Enforcement.Expert Witness Services- Dodd-Frank Act/CRA, FOIA. Global and Financial Markets. NASD/F...

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CBOE / FINRA

Manager- Regulation-Office of the Chief Regulatory Officer, Regulatory Services, SRO Compliance

Surveillance Operations, Examinations and Investigations. Interpreting Rules and Enforcing Compliance by traders with Stock Exchange Rules and Federal Securities and Commodities Laws. Securities, Federal Regulatory Compliance, Examination, Audit, Consumer Financial Protection, Fiduciary Wealth Management.Contract Negotiation- Due Diligence. SEC, FINRA,Compliance Enforcement Management, ISG- InterMarket Surveillance Group- Global Exchanges. Financial Markets Commentator: www.CBOETV.com, Contract Review and Negotiation, 17d-2 Agreements, Corporate Property and Facilities Management, Records Management, Senior Executive PA