Craig Caban
About Craig Caban
Craig Caban serves as the Managing Regulatory Coordinator at FINRA, where he has worked since 2011. He specializes in equities, financial statements, and tax planning, and possesses a diverse skill set that includes risk management and policy analysis.
Work at FINRA
Craig Caban has been employed at the Financial Industry Regulatory Authority (FINRA) since 2011. He currently holds the position of Managing Regulatory Coordinator, a role he has occupied since 2018. In this capacity, he operates in the Greater New York City Area and has accumulated over a decade of experience at FINRA. His responsibilities include overseeing regulatory compliance and ensuring adherence to industry standards.
Education and Expertise
Craig Caban earned a Bachelor of Science degree in Finance from St. John's University, specifically from The Peter J. Tobin College of Business, where he studied from 2000 to 2004. His educational background provides a strong foundation for his work in finance and regulation. He possesses specialized knowledge in areas such as equities, financial statements, and tax planning.
Background
Prior to his tenure at FINRA, Craig Caban worked at Price Waterhouse Coopers as a Senior Associate for a brief period in 2011. His professional experience spans both front and middle office environments, contributing to his comprehensive understanding of the financial industry. He has developed a diverse skill set that includes risk management, customer relations, and policy analysis.
Regulatory Knowledge
Craig Caban has expertise in interpreting and applying rules and regulations set forth by the New York Stock Exchange (NYSE) and the Securities and Exchange Commission (SEC). His role at FINRA requires a deep understanding of these regulatory frameworks, which he employs to ensure compliance and promote best practices within the financial industry.
Communication Skills
Craig Caban demonstrates strong communication skills, both written and oral. These skills are essential in his role as Managing Regulatory Coordinator, where effective communication is crucial for conveying complex regulatory information to various stakeholders within the financial sector.