Tampa, Florida, United States
LeRoy has 20+ years experience in various Legal and Compliance related functions. His journey in the Financial Services Industry began as a litigation paralegal at Shearson Lehman Brothers where he gained valuable exposure to the securities arbitration process and various equities, fixed income, and derivative products. His 13 years as a New York Stock Exchange regulator gave him a bird’s eye view into the rules and regulations that govern broker dealers and securities industry professionals. His experience as a Principal Examiner brought him face to face with real life scenarios that required thoughtful analysis, product knowledge, problem solving, decision making, team building, and ultimately partnership with industry participants to develop viable solutions and action plans. Currently, LeRoy serves as Regional Head of the North America Corporate and Investment Banking Compliance Testing team. He manages, trains, mentors, and serves as a real time sounding board for team members. He interprets key risk indicators and develops annual test plans. As a second line of defense, his team endeavors to identify gaps between regulatory or business requirements and actual practices, and subsequently assists in developing corrective measures to strengthen the firm's control framework. He also interacts with regulatory authorities and serves as an adviser to business clients regarding appropriate remedial action.