Mary Wong is a capital market consultant with compliance and trading expertise.
Mary has worked with investment and exempt market dealer firms in the areas of compliance, trading, and operations. Projects include: developing and conducting risk-based audit programs; trading and compliance technology projects; training and mentoring staff; compliance monitoring; and developing business processes as they relate to new rules. She also works with clients to submit their application to be a dealer member.
Her career started on the VSE trade floor where she was a floor governor and was also part of the team that automated the trading floor. After the demutualization of the Exchange, Mary moved to the regulation side and managed the Trade Desk and Surveillance and Issuer Disclosure teams, where it was important to her as a regulator not only to regulate but to work together with the dealers and issuers as stakeholders to enhance the industry.
With over 30 years in the industry, Mary has seen the industry evolve and participated in many of those changes in one form or another; she continues to get excited about assisting her clients and associates with their needs in this ever-changing industry.