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RssRegulatory Examiner-11 years experience

As a Principal Examiner with FINRA for nearly 11 years, I have developed my knowledge and skills in an ever changing financial world that could be an asset for your firm. My major responsibilities include leading a field examination team conducting regulatory examinations of FINRA member firms and monitoring the stability, accountability, and supervisory structure of FINRA member firms to ensure compliance with NASD, MSRB, and SEC rules and regulations. 

Financial Examiner

Liberty, MO

About Me

Industry:

Accounting & Finance

Occupation:

Financial Examiner
 

Education level:

Bachelor

Will Relocate:

Yes

Location:

Liberty, MO