Carmen Anderson
About Carmen Anderson
Carmen Anderson is a Senior Disclosure Analyst at FINRA with over 30 years of experience in the financial services industry. She has held various leadership roles at prominent firms, including Morgan Stanley and Citigroup, and is recognized for her expertise in registration requirements and regulatory compliance.
Work at FINRA
Carmen Anderson has been employed at FINRA as a Senior Disclosure Analyst since 2020. In this role, she utilizes her extensive experience in the financial services industry to analyze and ensure compliance with disclosure requirements. Her responsibilities include evaluating registration applications and overseeing the maintenance of broker-dealer and investment adviser firms. Anderson's position at FINRA allows her to apply her knowledge of regulatory rules and contribute to the integrity of the financial markets.
Professional Experience in Financial Services
Carmen Anderson has over 30 years of professional management experience in the financial services industry. She has held various positions, including Vice President at Citigroup for one year and Vice President - Head of North America Registration Department at Morgan Stanley for nine years. Her earlier roles include Registration Manager at CHASE INVESTMENT SERVICES CORP. and Senior Registration Specialist at Merrill Lynch Inc. These positions have equipped her with a comprehensive understanding of registration requirements and regulatory compliance.
Education and Expertise
Carmen Anderson is recognized as a subject matter expert in registration requirements and the maintenance of broker-dealer and investment adviser firms. She possesses a keen understanding of regulatory rules as defined by the SEC, FINRA, NFA, and state regulators. Her expertise is complemented by her leadership skills, which enable her to mentor and develop individuals and teams within the financial services sector.
Background in Registration Management
Carmen Anderson's background includes significant experience in registration management. She served as Registration Department Manager at Wachovia Securities Financial Network and has held various roles focused on registration processes throughout her career. This experience has contributed to her ability to navigate complex regulatory environments and ensure compliance across multiple organizations.