Carly Griffin
About Carly Griffin
Carly Griffin serves as a Senior Principal Analyst in the Office of Regulatory Liaison at FINRA, a position she has held since 2021. With extensive experience at FINRA and a background in accounting and business administration from American University, she has held various roles including Principal Examiner and Examination Manager.
Current Role at FINRA
Carly Griffin currently serves as a Senior Principal Analyst in the Office of Regulatory Liaison at FINRA. She has held this position since 2021, contributing to the organization's regulatory initiatives and oversight functions. In this role, she engages with various stakeholders to ensure compliance with regulatory standards and to facilitate effective communication between FINRA and the industry.
Previous Positions at FINRA
Carly Griffin has held multiple positions at FINRA, showcasing her extensive experience in regulatory examination and oversight. She worked as a Principal Examiner from 2009 to 2016, followed by roles as Assistant Director from 2016 to 2018 and Principal Analyst in the Office of Regulatory Liaison from 2020 to 2021. Additionally, she served as Examination Manager in Chicago from 2019 to 2020 and as Principal Examiner in Member Supervision from 2018 to 2019.
Experience at Deloitte
Before joining FINRA, Carly Griffin worked at Deloitte as a Manager from 2002 to 2009. During her tenure at Deloitte, she gained valuable experience in accounting and business consulting, which contributed to her regulatory expertise in subsequent roles.
Educational Background
Carly Griffin studied at the American University - Kogod School of Business, where she earned a Bachelor of Science in Business Administration (BSBA) with a focus on Accounting. Her studies spanned from 1998 to 2002, providing her with a solid foundation in business principles and accounting practices.