Senior Director and Single Point of Accountability (SPOA) of Risk Monitoring
- Short Bio:Andrew McElduff is Senior Director and Single Point of Accountability (SPOA) of Risk Monitoring within the Retail Firm Group for FINRA’s Member Supervision Department. In his role, Andrew oversees three Risk Monitoring teams responsible for monitoring and assessing risk across the Retail - Private Placement and Retail – Pooled Investment & Variable Annuity firms. Andrew is also responsible for, and partners with the Examination program leaders, determining the annual exam plan and the appropriate scope of each exam within the Private Placement and Pooled Investment & Variable Annuity firms. Prior to his role in Risk Monitoring, Andrew oversaw Examination teams in FINRA’s New York office. Those teams were responsible for conducting the cycle, branch, and cause examinations of member firms across all firm sizes and business lines. Andrew joined FINRA in September 2007 after working at a startup handling day to day operations and managing a national sales team. Andrew is a graduate of the University of North Carolina at Chapel Hill.
March 9, 2021, 15:15
Regulatory Interchange Webinar featuring FINRA