Carrie Capron
About Carrie Capron
Carrie Capron serves as the Investigative Director at FINRA, a position she has held since 2021. She has extensive experience in financial regulation, having worked in various roles at FINRA and UBS over the past 16 years.
Work at FINRA
Carrie Capron has held multiple positions at the Financial Industry Regulatory Authority (FINRA) since 2010. She currently serves as Investigative Director, a role she has occupied since 2021. Prior to this position, she worked as a Case Manager from 2017 to 2021, overseeing various case investigations. Capron also held the position of Principal Investigator from 2013 to 2017 and served as Associate Principal Examiner from 2012 to 2013. Her earlier role at FINRA was as Senior Examiner from 2010 to 2012. Additionally, she briefly worked as Associate Principal Investigator in 2013.
Education and Expertise
Carrie Capron earned her Bachelor of Arts (B.A.) in Economics from Rollins College, where she studied from 2000 to 2004. This educational background has contributed to her expertise in financial regulations and investigative processes within the financial industry. Her academic training supports her analytical skills and understanding of economic principles, which are essential in her current role at FINRA.
Background
Carrie Capron has a significant background in financial regulation and investigation, primarily through her extensive career at FINRA. She began her tenure at FINRA in 2010 and has progressed through various roles, gaining experience in case management and examination. Before joining FINRA, she worked at UBS as a Senior Examiner from 2007 to 2010, where she further developed her skills in financial oversight and compliance.
Professional Experience at UBS
Before her extensive career at FINRA, Carrie Capron worked at UBS as a Senior Examiner from 2007 to 2010. In this role, she was responsible for examining compliance with financial regulations and ensuring adherence to industry standards. Her experience at UBS provided her with a solid foundation in financial practices and regulatory requirements, which she later applied in her roles at FINRA.