Ms. Kapusta is a consultant with Bates Group Regulatory & Compliance Practice and is based in Washington, D.C. A former Market Analyst with FINRA and the NASD, she uses her extensive regulatory and compliance experience to help broker-dealers and investment advisors navigate market regulation issues, trading practices and deficiencies, and financial reporting obligations. Ms. Kapusta also is available to help broker-dealers and investment advisors prepare for regulatory examinations.
Prior to joining Bates Group, Ms. Kapusta worked for FINRA as an Order Audit Trail System (“OATS”) Analyst. As an OATS Analyst, she analyzed trading activity of member firms, prepared summaries of OATS reporting practices, and worked directly with FINRA member-firms to remediate and correct reporting deficiencies. Earlier in her career, Ms. Kapusta was an Analyst for the NASD Market Regulation Integrity Group. As a Market Regulation Analyst, she investigated violations of SEC and NASD rules and regulations; conducted on-the-record (“OTRs”) interviews of compliance officers and registered representatives; and worked with NASD legal staff to determine if disciplinary actions or sanctions were warranted. While with NASD Market Regulation Integrity, Ms. Kapusta teamed with the Regulation Technology Group to help develop alerts for the NASD’s Advanced Detection System (“ADS”), a monitoring system designed to detect anti-competitive behavior on the NASDAQ.
Before joining FINRA, Ms. Kapusta worked as a Senior Financial Reporting Specialist in Boston for Chase Global Funds, now JP Morgan Chase, and as a Mutual Fund Accountant for State Street Bank & Trust Company.
Financial Industry Regulatory Authority (FINRA), Order Audit Trail System Analyst
National Association of Securities Dealers (NASD), Market Integrity/Fraud Analyst
Chase Global Funds Services Company (JP Morgan Chase), Senior Financial Reporting Specialist
State Street Bank and Trust Company, Mutual Fund Accountant
Siena College, New York, Bachelor of Science in Finance
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