Catherine Dunn
About Catherine Dunn
Catherine Dunn serves as the Examination Director at FINRA, a position she has held since 2020 after a 21-year tenure as Examination Manager. She holds a Bachelor's degree in Accounting from Rutgers University and has received multiple awards for her contributions to the field, particularly in compliance and internal audit.
Work at FINRA
Catherine Dunn has served as Examination Director at FINRA since 2020. In this role, she oversees examination processes and ensures compliance with industry regulations. Prior to her current position, she worked as Examination Manager at FINRA from 1999 to 2020, accumulating 21 years of experience within the organization. Her extensive tenure at FINRA has equipped her with deep knowledge of regulatory frameworks and examination protocols.
Education and Expertise
Catherine Dunn earned her Bachelor's degree in Accounting from Rutgers, The State University of New Jersey-Newark. Her educational background provides a solid foundation for her career in finance and compliance. She demonstrates proficiency in internal audit and internal controls, which are critical components of her role as an audit professional. Dunn's expertise extends to compliance with SEC, FINRA, and MSRB rules and regulations.
Background
Before joining FINRA, Catherine Dunn worked as a Senior Accountant at Merrill Lynch from 1997 to 1999. This role contributed to her understanding of financial operations and regulatory requirements. Her career path reflects a consistent focus on compliance and auditing, establishing her as a knowledgeable professional in the financial services industry.
Achievements
Catherine Dunn has received several prestigious awards throughout her career, including the Chairman's Award, Outstanding Achievement Award, and President's Awards. These recognitions highlight her significant contributions and accomplishments in the field of finance and compliance. Her specialized skill set includes fraud investigation, net capital, supervisory controls, and anti-money laundering, underscoring her expertise in critical areas of financial oversight.