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Regulation and Compliance > Federal Regulation > FINRA

FINRA Names New Head of Enforcement

By Melanie Waddell

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The Financial Industry Regulatory Authority said Friday that Jessica Hopper had been named the new head of enforcement, replacing Susan Schroeder.

Hopper has been acting head of enforcement since Schroeder left in September 2019.

She 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,” Cook said in a statement. “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.”

Hopper added in the statement that she looks 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 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 in September.

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 and holds a J.D. from the University of Toledo College of Law and a B.A. from Hillsdale College.

Melanie Waddell

@Think_MelanieW

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