William St. Louis

Bill St. Louis is an Executive Vice President and Head of Enforcement. In this role, Mr. St. Louis manages and directs FINRA’s Enforcement national operations. He also leads the development of FINRA’s national enforcement policies and procedures, and oversees the prosecution of firms and individuals for disciplinary action.

Before his appointment as Head of Enforcement, Mr. St. Louis led FINRA’s National Cause and Financial Crimes Detection Program (NCFC) within Member Supervision. In that role, he oversaw FINRA’s National Cause Program, Financial Crimes Surveillance, and specialized investigative units covering anti-money laundering, cybersecurity, crypto-assets, high-risk representatives, and vulnerable adults and seniors. He also oversaw FINRA’s Membership Application Program.

Prior to leading NCFC, Mr. St. Louis was Senior Vice President and Firm Group Leader for FINRA member firms assigned to the Retail and Capital Markets firm groupings. In that capacity, he was responsible for managing the Risk Monitoring Program teams for these firms, which includes the assessment of business conduct, financial, operational and trading risks. Mr. St. Louis was previously the Regional Director of FINRA’s Northeast Region and Director of FINRA’s New York District Office. He also held senior roles in FINRA’s Enforcement Department, including serving as the Regional Chief Counsel for FINRA’s North Region.

Mr. St. Louis earned an undergraduate degree from Baruch College and a law degree from New York University School of Law. Prior to law school, he worked for several years in the compliance department of a New York-based broker-dealer.