FINRA Promotes Jessica Hopper to Head of Enforcement

WASHINGTON—FINRA announced today that it has promoted Jessica Hopper to Executive Vice President and Head of Enforcement. Hopper has been Acting Head of Enforcement since Susan Schroeder announced her departure in September 2019. Hopper will report directly to CEO Robert Cook.

“Jessica brings a wealth of experience and talent to this critical role, having risen through numerous positions within FINRA’s Enforcement Department during her 16 years at the organization,” said Cook. “She is highly regarded as an enforcement lawyer and a thoughtful, collaborative leader, and during the course of her career has demonstrated a deep commitment to protecting investors and the integrity of our markets.”

“I am excited to lead such a talented team of professionals who are deeply committed to fulfilling FINRA’s mission of investor protection and market integrity,” said Hopper. “I look forward to continuing to work with Robert and the rest of the senior management team in helping to make FINRA the most effective self-regulatory organization it can be.”

Hopper joined FINRA in 2004 as an Enforcement Attorney, and was Director in the Washington D.C. office from 2005 until 2011, when she was promoted to Vice President in charge of the Regional Enforcement program. In 2016, she was named Senior Vice President and Deputy Head of Enforcement before being named Acting Head of Enforcement in September 2019.

Prior to joining FINRA, from 2000 to 2004, Hopper worked at Legg Mason Wood Walker, Inc. on legal and compliance matters. She began her career as a litigation attorney in private practice. Hopper holds a Juris Doctorate from the University of Toledo College of Law and earned a B.A. from Hillsdale College.

About FINRA
FINRA is a not-for-profit organization dedicated to investor protection and market integrity. It regulates one critical part of the securities industry—brokerage firms doing business with the public in the United States. FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-dealer personnel and offers them education and training, and informs the investing public. In addition, FINRA provides surveillance and other regulatory services for equities and options markets, as well as trade reporting and other industry utilities. FINRA also administers a dispute resolution forum for investors and brokerage firms and their registered employees. For more information, visit www.finra.org.