Hiren Bhakta
About Hiren Bhakta
Hiren Bhakta is a Principal Compliance Examiner at the Financial Industry Regulatory Authority, specializing in securities regulation and trading systems. He holds a Bachelor of Arts in Economics and a Master of Business Administration, with extensive experience in the financial services sector.
Work at FINRA
Hiren Bhakta has been serving as a Principal Compliance Examiner at the Financial Industry Regulatory Authority (FINRA) since 2013. In this role, he focuses on ensuring compliance with securities regulations and overseeing trading systems. His position involves evaluating the practices of financial firms to ensure they adhere to industry standards and regulations. Bhakta's work contributes to the integrity of the financial services industry in the Greater Atlanta Area.
Education and Expertise
Hiren Bhakta holds a Bachelor of Arts (B.A.) in Economics from The University of Texas at Austin, where he studied from 1995 to 1999. He furthered his education by obtaining a Master of Business Administration (MBA) from The University of Texas at Arlington, completing his studies from 2000 to 2003. His academic background provides a strong foundation in economics and business principles, which supports his expertise in securities regulation and trading systems.
Background
Hiren Bhakta has a demonstrated history of working in the financial services industry. Prior to his current role at FINRA, he worked as a Relationship Manager at 1st Global for six months in 2013, based in the Dallas/Fort Worth Area. His experience spans various aspects of financial services, with a focus on mutual funds and securities, showcasing his comprehensive understanding of the sector.
Skills in Securities and Mutual Funds
Hiren Bhakta possesses strong skills in mutual funds and securities, which are critical in his role as a compliance examiner. His expertise enables him to effectively assess compliance with regulatory requirements and analyze trading systems. This skill set is essential for maintaining the standards of practice within the financial industry.