Julia Ulloa has 18 years experience in various roles at FINRA (previously NASD) and The Federal Reserve Bank of New York. Throughout her career, Mrs. Ulloa has managed portfolios of domestic and international firms. She is an expert in FINRA’s Nine Risk Hierarchy (Accuracy of Regulatory Capital, Liquidity, AML, Operations, Sales, Market, Fraud, Credit and Segregation of Client Assets). 

 

Mrs. Ulloa oversaw sales practice, financial and operational activities of assigned firms to ensure compliance with FINRA and SEC Rules.  She provided supervisory perspective as to the overall safety and soundness of firms undergoing mergers, acquisitions, conversion and signification business expansions. Mrs. Ulloa also provided guidance on routine sales practice examinations, special investigations and financial surveillance. Additionally, she provided firms with interpretations of FINRA and SEC Rules and assisted them in conducting business within regulatory guidelines. 

 

In addition to forming part of FINRA’s Member Regulation Team Mrs. Ulloa was an integral member of innovative initiatives such as Employee Resource Groups. She had a significant role in the development of FINRA’s Employee Resource Groups and served as Co-Chair for one of them.