Charlie Miller, Cfe
About Charlie Miller, Cfe
Charlie Miller is a Principal Compliance Examiner at FINRA, specializing in financial compliance for senior citizens. With extensive experience in securities investigations and fraud prevention, he has worked in various compliance roles at FINRA since 2010.
Work at FINRA
Currently, Charlie Miller serves as a Principal Compliance Examiner at FINRA (Financial Industry Regulatory Authority) in Denver, Colorado, a position he has held since 2018. His career at FINRA began with a role as an Associate Compliance Examiner from 2010 to 2011 in Kansas City, Missouri. He then worked as a Compliance Examiner for three months in 2011, followed by a two-year tenure as a Senior Compliance Examiner from 2013 to 2016, both in the Greater Denver Area. Prior to his current role, he served as an Associate Principal Compliance Examiner from 2016 to 2018 in the same region.
Education and Expertise
Charlie Miller earned a Bachelor of Science in Finance from The University of Kansas School of Business, completing his studies from 2006 to 2009. His professional expertise includes a focus on the financial needs and compliance issues of senior citizens. He possesses strong skills in fraud prevention within the financial services industry and has a demonstrated history of handling securities investigations, showcasing a deep understanding of regulatory compliance.
Background
Before joining FINRA, Charlie Miller worked at National Advisors Trust Company as a Securities Processing Specialist for five months in 2009. His experience in compliance and financial services has developed over years of work in various roles within FINRA, where he has progressively advanced his career and expertise in compliance examination.
Achievements
Throughout his career at FINRA, Charlie Miller has contributed to various compliance initiatives and has been involved in securities investigations. His work has focused on ensuring regulatory compliance and fraud prevention, particularly in relation to the financial needs of senior citizens. His roles have allowed him to develop a comprehensive understanding of compliance issues within the financial industry.