Andrew McElduff

Andrew McElduff is the Vice President and Head of Retail Risk Monitoring at FINRA. In this role, he provides strategic leadership on the relevant risks and industry developments impacting FINRA’s retail member firms. His team is responsible for liaising with assigned firms and assessing their financial, operational, and business conduct risks.

Prior to his current position, Andrew served as a Senior Director and Single Point of Accountability within FINRA’s Retail Firm Group, where he oversaw risk monitoring teams and partnered with the Examination program to determine annual exam plans. He has also led examination teams in FINRA’s New York office, responsible for conducting cycle, branch, and cause examinations of member firms.

Andrew joined FINRA in 2007 after working at a startup, where he handled day-to-day operations and managed a national sales team. He is a graduate of the University of North Carolina at Chapel Hill.