The Financial Industry Regulatory Authority (FINRA) has appointed Carlo di Florio, currently Director of the Securities and Exchange Commission Office of Compliance Inspections and Examinations, will join the organization as executive vice president of risk and strategy, effective June 24.

In this role, di Florio will lead the Office of Risk, Emerging Regulatory Issues, Enterprise Risk Management and Strategy.  Di Florio will have overall responsibility for ensuring that FINRA has effective processes for assessing the most significant risks to the investing public and the integrity of our markets, and developing strategic responses to mitigate, manage and monitor those risks and industry trends. Di Florio will also manage the agency's enterprise risk management program to enhance FINRA's internal governance, risk management, quality control and compliance.

Di Florio has served as director at the OCIE since 2010 and is responsible for oversight of the SEC's nationwide examination programs for investment advisers, broker-dealers, mutual funds, market exchanges and clearing agencies. Prior to joining the SEC, di Florio served as a partner in the financial services regulatory practice at PwC, where he specialized in corporate governance, enterprise risk management and regulatory compliance.