Greg Ruppert, Chief Regulatory Operations Officer at the Financial Industry Regulatory Authority (FINRA), recently shared insights with Compliance Week regarding the self-regulatory organization’s use of Artificial Intelligence in monitoring trends in the market, spotting threats, and keeping its members informed. Greg leads FINRA’s efforts to strengthen regulatory coordination, expand intelligence sharing, and enhance its processes and technology – protecting investors and upholding market integrity. What follows is an edited conversation between Greg and Aaron Nicodemus, Compliance Week’s Editor-in-Chief.
Q: Greg, tell me a little bit about what you do at FINRA.
