FINRA Hires New Exam Chief From Schwab

"We are delighted that Bari is joining FINRA to bring her exceptional talents and deep experience to bear on that essential work. Under her leadership and our ongoing work under FINRA360, I am confident that FINRA will continue to enhance our supervisory programs to keep investors safe and promote vibrant capital markets."

Havik added in the statement that FINRA "plays an integral role in protecting investors and safeguarding the strength of the U.S. capital markets."

She added that she's had "the privilege of working with many people at FINRA over the years, and I am excited to join this extraordinary team, to advance the goals of FINRA360, and to help ensure FINRA's programs for supervising member firms and protecting investors keep pace with an ever-changing market environment."

Havlik began her career in financial services in 1982 and has worked for discount brokerage, full-service retail, and institutional securities firms, as well as bank-affiliated broker-dealers.

Havlik was on the board of the National Society of Compliance Professionals from October 2009 through March 2011, and was also active in several industry advisory committees for FINRA and the Municipal Securities Rulemaking Board, including as a member of the FINRA Membership Committee.

She received her undergraduate degree from DePaul University.

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