Sarah Wallis

Sarah Wallis is Senior Vice President of Regulatory Operations Strategy, Data and Technology. In this role, she supports FINRA’s efforts to modernize its regulatory model and continue strengthening and unifying its regulatory operations. To that end, Ms. Wallis oversees a team designed to take a unified approach to strategic and capital planning, cross-functional process and technology investments, including business case development, data integration and access priorities, business and technology road-mapping, and program delivery for key initiatives.

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

Ms. Wallis has spent over 20 years in the financial services industry in various roles related to transformation, 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 transformation lead for Global Market Risk, including both regulatory compliance programs and the innovation portfolio. Ms. Wallis was previously a consultant with Ernst & Young in its Financial Services Risk Management practice.

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