Amy Mallory
About Amy Mallory
Amy Mallory serves as a Principal Examiner at the Financial Industry Regulatory Authority, where she has worked since 2004. She previously held positions as an Associate Auditor at PricewaterhouseCoopers and as an Internal Auditor at American Century Investments.
Work at FINRA
Amy Mallory has served as a Principal Examiner at the Financial Industry Regulatory Authority (FINRA) since 2004. In this role, she is responsible for overseeing compliance and regulatory matters within the financial services industry. Her tenure at FINRA spans 20 years, during which she has contributed to the organization's mission of ensuring investor protection and market integrity.
Previous Experience in Auditing
Prior to her current position at FINRA, Amy Mallory worked as an Associate Auditor at PricewaterhouseCoopers from 2000 to 2002 in the Greater Chicago Area. Following this role, she served as an Internal Auditor at American Century Investments from 2002 to 2004 in the Kansas City, Missouri Area. These positions provided her with a solid foundation in auditing practices and financial oversight.
Education and Expertise
Amy Mallory earned her Bachelor's degree in Accounting from Illinois Wesleyan University. Her educational background has equipped her with the necessary skills and knowledge to excel in her auditing and regulatory roles throughout her career.
Professional Background
Amy Mallory has built a career in the financial sector, focusing on auditing and regulatory compliance. Her professional journey includes significant roles at prominent organizations, allowing her to develop expertise in financial oversight and examination. Her experience spans over two decades in various capacities within the industry.