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Sarah Wallis

Senior Vice President, Regulatory Operations Program Delivery

Sarah Wallis is Senior Vice President of Regulatory Operations (RegOps) Program Delivery. In this role, she supports FINRA’s efforts to continue strengthening and integrating its regulatory operations. To that end, Ms. Wallis oversees initiatives that advance an integrated operating model for RegOps and establish the standards, best practices, and infrastructure required to drive consistent delivery and transparency.

Ms. Wallis joined FINRA in 2020 as Vice President of Strategic Technology Programs for Enforcement, where she led the strategic adoption of technology and data analytics solutions for FINRA Enforcement. Her notable accomplishments in that role included growing the Enforcement Analytics team, significantly increasing the effectiveness of Enforcement’s technology and analytics solutions, and helping lead the development of an integrated RegOps capital program.

Ms. Wallis has spent over 20 years in the financial services industry in various roles related to strategic change, technology, regulatory compliance, risk management, operations, and innovation. Immediately prior to joining FINRA, she was a Director at Credit Suisse, serving as the strategic change lead for Global Market Risk, including both regulatory compliance programs and the innovation portfolio. Ms. Wallis was previously a consultant with Ernst & Young in their Financial Services Risk Management practice.

Ms. Wallis received her bachelor's degree in Operations Research and Industrial Engineering from Cornell University.