Timothy Thompson

Timothy Thompson is Senior Vice President, Enterprise Risk Management & Strategy (ERM). ERM provides a consolidated, organization-wide view of risks that could potentially have a significant impact on FINRA’s ability to achieve its mission, strategic goals and key business objectives. The program also assesses how each of these enterprise risks are being managed and supports FINRA's strategic planning, budgeting and resource allocation processes. The Enterprise Strategy team drives FINRA's long-term success by aligning strategic objectives, optimizing resources and ensuring impactful execution that advances FINRA’s mission.

Prior to assuming the ERM role, Mr. Thompson was responsible for FINRA’s examination and risk monitoring program related to broker-dealers engaged in trading on the U.S. equities and options trading markets. 

Prior to joining FINRA in January 2015, Mr. Thompson served for over 10 years as the Chief Regulatory Officer of the Chicago Board Options Exchange where he oversaw a comprehensive regulatory program consisting of, among others, insider trading surveillance performed on behalf of all U.S. options exchanges, trading examinations, financial and operational examinations, and market surveillance. Mr. Thompson also oversaw the Cboe’s regulatory program for the Cboe Futures Exchange during his tenure. Before that, Mr. Thompson served as the Chief Compliance Officer and General Counsel for Botta Capital Management, an Associate General Counsel for Cboe and a Branch Chief for the Securities and Exchange Commission in the financial responsibility area of the SEC’s Division of Market Regulation (which is now the Division of Trading and Markets). 
Mr. Thompson graduated cum laude from the University of Michigan Law School and summa cum laude from the University of Notre Dame.