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Steven A. Joachim


Executive Vice President, Transparency Services

 

Photo of Steven A. Joachim

Steven A. Joachim, Executive Vice President of Transparency Services, oversees FINRA's facilities for trade reporting. His responsibilities include the Trade Reporting and Compliance Engine (TRACE), the FINRA facility for reporting and disseminating corporate bond, agency debenture and securitized product transactions; the Alternative Display Facility, FINRA's listed equity quote and trade reporting vehicle; the trade reporting facilities, FINRA's joint ventures with the exchanges for printing listed equity trades; and the over-the-counter equity transparency facilities, including the OTC Bulletin Board.

 

Before joining FINRA in 2002, Mr. Joachim was the Senior Vice President, Chief Operating Officer, Chief Strategy Officer and General Manager for Plural, a custom interactive software development and strategy firm.

 

From 1983 to 2001, Mr. Joachim served in several roles at Merrill Lynch managing operations in Asia, Europe and the United States. From 1981 to 1983, he worked for Bankers Trust Company as Vice President, Area Consultant for Lending and Money Transfer Operations. He also served as a Managing Consultant with Cresap McCormick and Paget, Inc.

 

Mr. Joachim has served as the Chairman of the International Forum for Investor Education, and has been a member of several boards, including the FINRA/NYSE Trade Reporting Facility, the FINRA/Nasdaq Trade Reporting Facility, Philadelphia Stock Exchange, Merrill Lynch Specialists, Inc. and Wilco, Inc. boards. He has also served on several advisory committees including the CFTC Technology Advisory Committee, the Nasdaq Industry Advisory Committee and the American Stock Exchange Upstairs Member Advisory Committee.

 

Mr. Joachim holds graduate degrees in Political Science from Duquesne University and Public Management from Carnegie Mellon University. He also received an undergraduate degree in Mathematics from Carnegie Mellon University.