Leonard brings over 20 years of experience in compliance, risk management, control process development, and program management across regulatory and private sector roles; he joined the firm in 2023.
His extensive leadership tenure at FINRA – including service as Director of Member Supervision and Senior Compliance Examiner – gives him a deep regulatory perspective on risk analysis, firm and individual examinations, trading activity, sales practice supervision, and broker-dealer operations across equity, mutual fund, private placement, and annuity products. He has led large-scale sweep examinations, developed examination methodologies for novel regulatory issues, guided the implementation of GRC tools and regulatory change systems, and built cross-departmental playbooks and annual planning processes that meaningfully improved organizational preparedness and workflow. Before FINRA, Leonard served as Director of Examinations at the National Stock Exchange and held compliance and consulting roles at Northwestern Mutual and Ruesch International.
Leonard holds a Bachelor of Science in Business Management from Northern Illinois University and previously served as Chairman of the FINRA Member Regulation Risk Assessment Committee.
