Regina Robles

Senior Consultant

30 Rockefeller Plaza, Suite 2020 New York, NY 10112

Ms. Robles advises clients on regulatory strategy, risk management, and compliance matters in over-the-counter (OTC) derivatives.

Ms. Robles has over two decades of experience in regulatory compliance matters. An attorney by training, she started her career specializing in public and private securities transactions. Later, at Goldman Sachs, she transitioned to regulatory operations, where she was responsible for compliance with the Bank Holding Company Act. Subsequently, she transitioned to securities operations, where she managed a client implementation team responsible for ensuring that all regulatory requirements are met during the onboarding process of client relationships for the institutional business of the firm.

Ms. Robles went on to work for National Futures Association (NFA) in the OTC Derivatives department, where she provided regulatory oversight of provisionally registered U.S. and non-U.S. swap dealers. She also presented at regulatory and member forums on various aspects of that oversight. In addition, she worked on the development of various interpretive notices to NFA’s rules.

Ms. Robles received her J.D. from St. John’s University School of Law and her B.A. from Rutgers University. She is fluent in Russian.

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