Waseem Barazi comes home to OneChicago
06 November 2013 Chicago
Image: Shutterstock
Equity finance exchange OneChicago has named Waseem Barazi as its chief regulatory officer.
Barazi previously served as director of market regulation at OneChicago, which he originally joined in 2011.
He later joined the Financial Industry Regulatory Authority (FINRA), where he was responsible for surveilling and analysing market data, as well as conducting investigations of potential violations of FINRA rules and federal securities laws.
In his new role, he will be based in Chicago and report to the exchange’s oversight committee and its CEO, David Downey.
As chief regulatory officer, Barazi will be responsible for providing strategic leadership and counsel on all regulatory, compliance and commodities and securities law issues for OneChicago, and will serve as its primary liaison to the Commodity Futures Trading Commission and the Securities and Exchange Commission.
“While Barazi brings an extremely high intellect and a background in law and compliance, it is his self-propelled personality and understanding of technology that makes him ideally suited to this new job,” said Downey.
“OneChicago is a growing equity finance exchange operating in an evolving regulatory landscape, and I’m looking forward to helping the firm navigate those changes while continuing to maintain its regulatory and compliance efforts,” added Barazi.
Barazi previously served as director of market regulation at OneChicago, which he originally joined in 2011.
He later joined the Financial Industry Regulatory Authority (FINRA), where he was responsible for surveilling and analysing market data, as well as conducting investigations of potential violations of FINRA rules and federal securities laws.
In his new role, he will be based in Chicago and report to the exchange’s oversight committee and its CEO, David Downey.
As chief regulatory officer, Barazi will be responsible for providing strategic leadership and counsel on all regulatory, compliance and commodities and securities law issues for OneChicago, and will serve as its primary liaison to the Commodity Futures Trading Commission and the Securities and Exchange Commission.
“While Barazi brings an extremely high intellect and a background in law and compliance, it is his self-propelled personality and understanding of technology that makes him ideally suited to this new job,” said Downey.
“OneChicago is a growing equity finance exchange operating in an evolving regulatory landscape, and I’m looking forward to helping the firm navigate those changes while continuing to maintain its regulatory and compliance efforts,” added Barazi.
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