Tim Thompson

Timothy Thompson is a Senior Vice President in FINRA’s Business and Industry Solutions Department. More specifically, Mr. Thompson serves as the Head of FINRA’s Enterprise Risk Management (ERM) Group.  FINRA’s ERM program 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 ERM team is also responsible for building organizational resilience by identifying potential threats to FINRA, its employees and contractors, physical assets, and facilities; mitigating the risks of loss to FINRA through effective planning, physical security systems and processes, and insurance management.​ 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, trading examinations, financial and operational examinations, market surveillance, and insider trading surveillance. The insider trading surveillance was performed on behalf of all U.S. options exchanges. Mr. Thompson also oversaw the Cboe’s regulatory program for the Cboe Futures Exchange during his tenure. Prior to becoming the CRO for Cboe, 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.