Thomas Decastro Email & Phone Number

Skilled business professional with a 15-year career of cross-functional experience spanning, Trading, Brokering and Compliance:• Highly proficient in identifying risks, developing regulatory strategies in addressing those risks.• Exceptional experience as a team leader and mentor fostering adoption of best practices and standards.• In-depth knowledge of banking and regulatory compliance.• Keen business acumen, with strong understanding of the factors impacting business performance and growth.• Proficient in analyzing firm’s financial and operational books and records to identify areas of risk.• Evaluating and auditing bank policy to ensure alignment with federal and international standards.• Risk exposure and option regulations in a compliance context• A commitment to productivity and efficiency, including promoting process optimization and development.• Strong relationship building abilities leveraged to build strong networks of professional contacts and effectivelyengage with a broad range of stakeholders.• Deep knowledge of business finance, including managing P&L.• Problem solving and troubleshooting using a strategic approach.• Excellent oral and written communication and presentation skills.• Present examination-related matters at internal meetings.• Possess excellent time management skills.AREAS OF EXPERTISERegulatory Compliance • Risk Management • Compliance Tracking • Identifying RiskRegulatory Strategies • Trading • Risk Mitigation • Quarterly Risk Assessments • Market Research & Reporting • Client Relationship Management • Stakeholder Engagement • Ethics • Information SystemsPerformance Management • NYMEX Regulations • Issue Resolution • Strategic PlanningFINRA, New York, New York • 2018-PresentThe Financial Industry Regulatory Authority is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect investors by making sure the United States securities industry operates fairly and honestly.Associate Principal ExaminerAsses applications of firms (broker-dealers) seeking FINRA approval, as well as FINRA members seeking ownership change and material changes in business operations. Lead or participate in, and provide guidance and advice with regard to complex, novel, unique or high risk applications for FINRA membership and other membership matter types. Proactively identify notable trends in industry practices, products and procedures. Ensure regulatory programs serve departmental goals and FINRA’s mission.