FacultyFaculty/Author Profile

Malcolm Northam

FINRA
Director, Fixed Income Policy
Washington, DC, USA


Malcolm Northam is the Director of the Fixed Income Securities Group within the Sales Practice Policy division at FINRA.

An authoritative market and regulatory voice about capital markets compliance and risk management, Mac Northam leads the creation and design of FINRA's member regulation compliance policy for credit and rates product origination, distribution, back-office processing, and resulting price and transaction dissemination. He coordinates the implementation of these policies through a program of FINRA advisory, educational, examining and enforcement initiatives. 

Mac has more than 25 years successful experience with debt products, beginning with the Office of the Comptroller of the Currency as a banking and securities examiner and then as Deputy Director of the OCC's Capital Markets Division designing and implementing regulation policy for buy-side portfolios; rates management and hedging; and for bond origination, institutional and retail distribution. While at the OCC he was a leader in creating and implementing uniform multi-agency regulatory approaches for distressed and defaulted bonds; mortgage-backed securities; and manipulative trading and investment practices. For the 7 years immediately prior to joining FINRA, Mac founded and managed a successful nation-wide consultative compliance practice  designing and coordinating preventive and remedial risk management, compliance, internal control, continuing education and information solutions. 

Mac represents FINRA at government agency, SRO, and industry and advisory meetings and is a staff liaison for FINRA's Fixed Income Committee, and the Series 72, Series 11, and Series 24 professional qualification examination review committee. He is a Certified Fraud Examiner, and a contributing market participant about bond issuance, pre and post trade price discovery and market transparency initiatives, firm disclosure responsibilities, and resulting firm risk and compliance management, investor protection, and buy-side portfolio risk management. He advises on examiner credit and rates education programs for FINRA, and is an instructor for SRO, SEC, bank regulatory agency and state examiners and legal staff, and for industry legal, compliance and audit professionals.

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