Jason Schultz
About Jason Schultz
Jason Schultz is a Principal Examiner at the Financial Industry Regulatory Authority (FINRA) in Chicago, Illinois, with extensive experience in regulatory compliance and financial operations. He has held various positions in the finance sector, including roles at AltairAdvisers LLC and Northern Trust Corporation, and has a Bachelor of Science in Finance from Northern Illinois University.
Work at FINRA
Jason Schultz is currently employed as a Principal Examiner at the Financial Industry Regulatory Authority (FINRA), a position he has held since 2020. In this role, he performs regulatory compliance examinations of Broker-Dealer firms, focusing on assessing compliance with exchange and self-regulatory organization rules. Prior to his current position, he served as an Associate Principal Examiner at FINRA from 2016 to 2020. During his tenure, he participated in and led various improvement initiatives and special projects, analyzing firm calculations, actions, processes, procedures, and regulatory culture.
Previous Experience
Before joining FINRA, Jason Schultz held several positions in the finance sector. He worked at AltairAdvisers LLC as a Client Operations Analyst from 2009 to 2016. Prior to that, he was a Senior Fund Accountant at Northern Trust Corporation from 2002 to 2004. He also served as a Senior Portfolio Administrator at UBS Global Asset Management from 2004 to 2009. Additionally, he briefly worked as a FINRA Financial Examiner at Randstad US, L.P. in 2016.
Education and Expertise
Jason Schultz studied Finance at Northern Illinois University, where he earned a Bachelor of Science (B.S.) degree from 1995 to 2000. He also attended Illinois State University for a year, focusing on Finance. His educational background provides a strong foundation for his expertise in regulatory compliance and financial analysis within the finance industry.
Background
Jason Schultz has a diverse background in finance, with over 15 years of experience in various roles within the industry. His career spans positions in regulatory examination, fund accounting, and client operations. This extensive experience has equipped him with a comprehensive understanding of financial regulations and compliance requirements.