Carmen Anderson (Smith)
About Carmen Anderson (Smith)
Carmen Anderson (Smith) is an Associate Director at FINRA with over 30 years of experience in the financial services industry, specializing in registration requirements for broker-dealer and investment adviser firms. She has held various leadership roles at prominent firms, including Morgan Stanley and Citigroup, and is recognized for her expertise and ability to develop teams and individuals.
Current Role at FINRA
Carmen Anderson currently serves as Associate Director at FINRA, a position she has held since 2021. In this role, she utilizes her extensive experience in the financial services industry to oversee various regulatory functions. Her responsibilities include ensuring compliance with industry standards and facilitating the registration process for broker-dealer and investment adviser firms. Anderson's expertise in regulatory rules is a key asset in her current position.
Previous Experience at FINRA
Prior to her current role, Carmen Anderson worked at FINRA as a Senior Disclosure Analyst from 2020 to 2021. During this time, she focused on analyzing disclosure documents and ensuring that firms complied with regulatory requirements. Her work contributed to enhancing transparency and accountability within the financial services sector.
Career at Morgan Stanley
Carmen Anderson has held multiple positions at Morgan Stanley. She served as Vice President and Head of the North America Registration Department from 2007 to 2016, where she managed registration processes and compliance. After this role, she worked as a Client Service Associate from 2017 to 2020, providing support and services to clients. Her tenure at Morgan Stanley spanned nearly a decade.
Background in Financial Services
Carmen Anderson has over 30 years of professional management experience in the financial services industry. She began her career at Merrill Lynch Inc as a Senior Registration Specialist from 1985 to 1994. She also worked at CHASE INVESTMENT SERVICES CORP. as Registration Manager from 1994 to 2004, and at Wachovia Securities Financial Network as Registration Department Manager from 2005 to 2007. Her diverse background has equipped her with a comprehensive understanding of registration requirements and regulatory compliance.
Expertise in Regulatory Compliance
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 ability to navigate complex regulatory environments has established her as a valuable resource in the financial services industry.