Kevin FinneganSenior Advisor – Institutional Sales & Trading - Compliance & Regulatory

Kevin Finnegan is a senior compliance executive with over 35 years of experience in the securities industry focusing on institutional fixed income markets’ regulatory and compliance programs. With a history of working as a Chief Compliance Officer or Head of Fixed Income Compliance at some of the leading Wall Street firms, he has successfully managed many investigations and regulatory inquiries. Specifically, Kevin has expertise in oversight of fixed income sales and trading and debt capital markets.

In earlier roles, he served as Chief Compliance Officer at the U.S. institutional broker-dealer subsidiary of the HSBC Group, and the Head of Fixed Income Compliance at Bank of America/Merrill Lynch and Jefferies LLC. Earlier in his career, he worked in Compliance at CS First Boston, Citicorp and the ING Group.

Mr. Finnegan has supported complex fixed income sales and trading platforms and has expertise in corporate, municipal and emerging markets bond trading, foreign exchange trading, rates trading and MBS/ABS trading, for both new issue origination and the secondary markets.

He has a BS in Economics from the City College of New York. Mr. Finnegan also did graduate work in Economics at The Lubin School at Pace University.

Mr. Finnegan previously held the Series 4, 5, 7, 8, 14, 15, 24, 55, 63 securities industry licenses.

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