Thomas J. Exnicios

Background

About Thomas J. Exnicios

As a JD and seasoned Financial Examiner with 10 years at FINRA, I bring deep regulatory insight, investigative expertise, and a sharp legal perspective to the evolving landscape of compliance, risk, and governance. My work has focused on broker-dealer oversight, financial analysis, and internal control evaluation—developing an examiner's intuition for identifying risk and translating complex regulations into actionable guidance. Prior to FINRA, I worked in healthcare compliance, giving me a unique cross-sector lens that spans both financial services and healthcare—especially relevant for organizations at the intersection of finance, technology, and health. I’m passionate about bridging legal, regulatory, and operational priorities, and am now exploring leadership opportunities in compliance, regulatory counsel, internal audit, or consulting—especially roles where I can help shape resilient, ethical programs from the inside out. Let’s connect if you're building something that requires a strong regulatory backbone and forward-thinking compliance strategy.