John Martino

John P. Martino is a Vice President of Examinations for FINRA member firms assigned to the Diversified and Clearing & Carrying firm grouping. In this role, he provides strategic leadership tailored to the relevant risks and industry developments impacting the firm grouping.  His team executes examinations covering financial, operational, and business conduct risks, while coordinating closely with Risk Monitoring on the development of risk-based exam strategies.

Mr. Martino has contributed to several FINRA initiatives focused on redesigning the organization’s Examination program, including the infrastructure used to facilitate those exams. He previously held responsibilities as a Surveillance Director and Examination Director in the Risk Oversight and Operational Regulation group of Member Supervision, where he oversaw the financial and operational risk assessment and exam execution of some of FINRA’s largest, most systemically important member firms.

Mr. Martino has been with the organization since its inception in 2007. Prior to FINRA, he spent 4 years at the New York Stock Exchange as a Financial Operations examiner. He holds a BBA in Finance from Hofstra University.