Giuseppe TrevisoBroker Dealer Specialist

Giuseppe Treviso is a broker dealer specialist with over a decade of experience in broker-dealer oversight, risk management, and compliance. As a Principal Examiner at the Financial Industry Regulatory Authority (FINRA), he led and executed more than 100 firm examinations, advising senior leadership on supervisory controls, regulatory risk, and remediation strategies aligned with SEC and FINRA requirements.

During his tenure at FINRA, Giuseppe managed cross-functional teams through all phases of the examination process, collaborating with legal, enforcement, and cybersecurity groups to assess firm practices, identify emerging risks, and ensure effective resolution of regulatory findings. He also played a key role in process improvement initiatives, including enhancements to FINRA’s firm audit program and cybersecurity review framework, while contributing to training and development efforts across the organization.

Giuseppe holds a Bachelor of Science in Business Administration in Finance from Suffolk University’s Sawyer Business School, with a minor in Business Law & Ethics. He holds certifications in cybersecurity and crypto asset regulation and is recognized for his analytical rigor, leadership, and ability to navigate complex regulatory environments.