Mary Ann Raimondi

Mary Ann Raimondi, CFE, serves as the Senior Director, Project Controller, Compliance at Oppenheimer & Co. Inc. since October 2017, overseeing the firm-wide certification of compliance processes in accordance with FINRA Rule 3130. Previous roles include Senior Compliance Examiner II for OTC Derivatives at the National Futures Association, where Mary Ann participated in compliance examinations related to The Dodd-Frank Act, and Corporate Actions & Market Watch Specialist at NYSE Euronext, managing critical communications with listed companies. Earlier experience includes a managerial position in Ethics & Compliance at PricewaterhouseCoopers, focusing on securities regulations and employee compliance, and a Principal Analyst role in Market Surveillance at NYSE Euronext, where detailed analyses of trading activities were conducted to identify regulatory violations. Mary Ann holds an MBA and a Bachelor's Degree from St. John's University, completed between 1989 and 1997.