Directory

Kevin Finnegan

J.S. Held’s Inaugural Global Risk Report Examines Potential Business Risks & Opportunities in 2024

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Kevin Finnegan is a seasoned Compliance Officer with a 30-plus-year career in the financial services industry. During his career, he has led compliance teams that supported a wide variety of complex products and services within the Capital Markets and Investment Banking divisions of both U.S. and non-U.S. domiciled Firms. He has expertise in capital markets, sales and trading, and operations compliance issues, as well as the rules and regulations of both the Securities and Exchange Commission (“SEC”) and various Self-Regulatory Organizations (“SRO”).

Kevin Finnegan is currently involved in assisting broker-dealers in, among other things, reviewing their existing policies and procedures, responding to regulatory inquiries, and preparing for/responding to regulatory audits and examinations.

Kevin Finnegan has been retained as a Special Advisor by J.S. Held for project-based engagements.

Key Expertise

  • Institutional Capital Markets
  • Institutional Sales & Trading
  • Operations Compliance
  • Broker-Dealer Regulation

Professional Affiliations/Memberships/Licenses/Training

  • Formerly Held Licenses – Series 4, 5, 7, 8, 14, 15, 24, 55, 63