Rini Xilas is a Director in the Regulatory Services Group in the Pittsburgh office of RRS.
Ms. Xilas joined Renaissance Regulatory Services in January 2008 and has over eleven years
of
experience in
the securities regulation industry in both the public and private sector. Ms.
Xilas’ regulatory
compliance
experience includes advising and auditing broker-dealers and
investment companies relative
to FINRA, MSRB,
federal and state rules and regulations.
As a consultant, Ms. Xilas has conducted over 100 engagements, which includes compliance
examinations of
broker-dealers, branch office inspections, registered representative audits,
anti-money
laundering testing,
supervisory control reviews, as well as the preparation of
written compliance and
supervisory policies and
procedures. Ms. Xilas also guided firms
through the FINRA new membership
and continued membership
process. Her clients have
included large national broker-dealers, investment
companies, as well as banks and
law
firms. Ms. Xilas has extensive experience with all aspects of
securities regulation, including
supervision,
branch office supervision, sales practices, trading, financial
audits, internal
controls and registrations.
As a regulator, Ms. Xilas has seven years of combined experience with FINRA/NASD and the
NASDAQ
Stock
Market. Ms. Xilas was a Compliance Examiner with FINRA’s Los Angeles
District Office, where she
was
responsible for planning and conducting on-site examinations
and review of member firms’
compliance
programs and systems, analyzing sales practices,
assessing member firms’ financial and
operational
conditions and investigating customer
complaints. Prior to joining the Los Angeles District
Office, Ms. Xilas
was a Senior Analyst
with the NASDAQ Stock Market in Washington D.C. where she
reviewed public
companies
and IPOs for listing on the National and SmallCap Markets.
Ms. Xilas received a Bachelor of Arts in Finance from The University of South Florida. |
