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Ossining, NY, USA

Patrick T.

Risk & AI Governance Advisor | Fractional CRO | Former FINRA Director | Part-Time Lecturer, Columbia University

With over two decades of unmatched expertise, Pat Tobin stands out as a senior leader in risk, analytics, and operations within highly regulated, technology-driven markets. Former FINRA director and seasoned consultant, Pat has pioneered risk and analytics programs, translating complex data and regulatory expectations into actionable insights for executives and boards. Adept at navigating market complexities and regulatory landscapes, Pat's work has fundamentally shaped firm-wide strategies, impacting thousands of market participants. His dedication to mentoring and educating future leaders in enterprise risk management further highlights his commitment to advancing the field.

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Patrick T.

Work

Regulatory Notice 20-26 | FINRA.org

finra.org
Regulatory Notice 20-26 | FINRA.org
Summary FINRA reminds firms to evaluate their exposure to LIBOR (formerly, the London Interbank Offered Rate), and review their preparedness to manage LIBOR’s phase-out. To understand how firms are preparing for that phase-out, FINRA surveyed a representative cross-section of member firms, including some firms with significant trading volume or positions in LIBOR-linked securities. This Notice provides a summary of the results of the survey. Questions concerning this Notice should be directed to: William Bidell, Director, Market Regulation, at (646) 315-8525 or by email; Roberto Setola, Senior Director, Member Supervision, at (202) 728 8035 or by email; Pat Tobin, Director, Member Supervision,

Experience

Sep 2018 — Present
Columbia University

Columbia University

Part-Time Lecturer

Columbia University offers a distinguished learning environment for undergraduate and graduate students, noted for its research excellence and located in New York City.

  • Mentored graduate students in advanced risk management techniques applicable to real-world industry scenarios.
  • Developed course content on modern risk topics such as Cybersecurity and Technology Resilience, integrating academic theory with practical application.
  • Focused on emerging risk areas by teaching a structured framework for analyzing and managing non-financial risks.
Nov 2014 — Sep 2025
FINRA

FINRA

Director: Strategic Intelligence & Analytics

FINRA is dedicated to protecting investors and safeguarding market integrity in a manner that facilitates vibrant capital markets.

  • Led the development and execution of an enterprise-wide RCA program that assessed and reported on major operational and regulatory risks for over 600,000 registered participants.
  • Managed a team to deliver complex risk analysis dashboards that supported high-profile investigations and oversight operations.
  • Directed a comprehensive data privacy initiative improving FINRA's compliance posture across multiple regulatory domains.
Jan 2011 — Dec 2014
Sungard Availability Services

Sungard Availability Services

Principal - Operational Risk & Resiliency Practice

Sungard Availability Services provides managed infrastructure and recovery services to help businesses maintain continuous operations.

  • Advised clients on strengthening business resilience through comprehensive risk assessments and developing recovery plans aligned with industry standards.
  • Applied CERT Resilience Management Model to enhance operational resilience and information lifecycle management.
  • Utilized advanced analytics and visualization tools to transform vulnerability data into actionable strategic insights.
Jan 2009 — Dec 2011
Gupton Marrs International, Inc.

Gupton Marrs International, Inc.

Senior Manager - Risk and Technology Practice

Gupton Marrs International, Inc. is a leader in managerial process design, helping organizations address modern market challenges through transformation initiatives.

  • Led Governance, Risk, and Compliance (GRC) engagements across diverse sectors, enhancing client process integrity.
  • Enabled SOX compliance readiness for clients, streamlining risk management operations through comprehensive process mapping and documentation.
  • Implemented innovative board reporting tools to increase transparency in organizational risk oversight.
Jan 2005 — Dec 2009
BearingPoint

BearingPoint

Senior Manager - Risk and Compliance Practice

BearingPoint is a management consultancy firm focused on driving operational and strategic change through technology and data solutions.

  • Directed delivery of compliance solutions leveraging frameworks like FFIEC, aligning complex processes with regulatory mandates.
  • Enhanced a client's enterprise information risk management processes through innovative data governance solutions and executive reporting practices.
  • Developed standardized global data privacy protocols, ensuring cross-departmental alignment and regulatory compliance.
Jan 2004 — Dec 2005
Acumen Solutions

Acumen Solutions

Director, Northeast

Acumen Solutions, now part of Salesforce, is a business consulting firm specializing in digital transformation and technology solutions.

  • Established a new office branch, steering operational growth and developing a high-performing technical consulting team.
  • Led a significant project for a global bank to overhaul its data warehouse processes, enhancing governance and analytical capabilities.
Jan 2001 — Dec 2004
EY

EY

Director

EY provides consulting, assurance, tax, and transaction services to help clients tackle their toughest challenges and build a better working world.

  • Led the innovation and delivery of SOX and HIPAA technology solutions during high-pressure compliance periods.
  • Successfully presented and implemented outsourced risk management programs to Fortune 500 executives, enhancing client compliance frameworks.
Jan 1995 — Dec 2001

Kinderhook Systems / Xpedior Northeast

Director/VP

Kinderhook Systems / Xpedior Northeast was a consulting firm focused on innovative business transformation services.

  • Grew company revenue from $500K to $21M through strategic client delivery and innovative business development initiatives as a key founding team member.
  • Played an integral role in the firm's acquisition process by Xpedior, ensuring sustainable scaling of consulting services.