Steven Price, a senior market investigations executive at the U.S. Financial Industry Regulatory Authority, has left the Wall Street watchdog to become chief compliance officer at fintech company Finalis.
Price spent six years at FINRA, where he oversaw thousands of investigations involving potential securities law violations such as insider trading and market manipulation. He also helped launch the regulator’s National Cause Program, including an AI-driven system designed to centralize and analyze complaints, tips and misconduct referrals.
His move comes as fintech platforms and artificial intelligence increasingly reshape investment banking. Smaller advisory firms can now use AI tools for analytical and administrative work that previously required larger teams, while companies like Finalis provide licensing, compliance and dealmaking infrastructure.
Founded in 2020 by former Kirkland & Ellis M&A lawyer Federico Baradello, Finalis says it has facilitated around $34 billion in transactions to date.
Price said his experience using technology to improve regulatory workflows at FINRA made the opportunity particularly attractive as Finalis expands its compliance operations.
