Geary S.
About Geary S.
Geary S. is a Principal Risk Monitoring Analyst at FINRA, where he has worked since 1998. He specializes in risk monitoring and compliance for funding portals and has a strong background in social sciences and business administration.
Work at FINRA
Geary S. has been employed at the Financial Industry Regulatory Authority (FINRA) since 1998, serving as a Principal Risk Monitoring Analyst. In this role, he conducts risk monitoring activities for over 30 Funding Portals, ensuring compliance with Regulation Crowdfunding. His responsibilities include overseeing regulatory adherence and providing insights into risk management practices within the organization.
Education and Expertise
Geary S. holds a Bachelor of Arts in Social Sciences from Lynchburg College and a Master of Business Administration from Iona College. His educational background equips him with a strong foundation in social sciences and business principles, which he applies in his analytical work at FINRA. This combination of degrees supports his expertise in risk monitoring and regulatory compliance.
Background
Geary S. has dedicated over two decades to the field of financial regulation, specifically focusing on risk monitoring and compliance. His role at FINRA has involved significant responsibilities, including serving as the primary examiner for the Senior Citizen Helpline Cause Exams in the New York District office. This position emphasizes his commitment to protecting senior investors from potential investment harm.
Achievements
Geary S. has been recognized for his leadership and initiative at FINRA, particularly for mentoring and coaching junior level examiners. He has delivered training presentations on regulatory subjects, including conducting Cause examinations and addressing issues faced by senior citizen investors. Additionally, he created a reference guide for newly registered funding portal firms, aimed at enhancing transparency in the FINRA regulatory process.