Jason Thomas, MBA
About Jason Thomas, MBA
Jason Thomas, MBA, serves as the Examination Manager at FINRA, where he leads a team in assessing risks associated with member firms. He has extensive experience in securities laws and regulations, having previously held positions at MetLife Financial Services and as a Principal Examiner at FINRA.
Work at FINRA
Jason Thomas has served as Examination Manager at FINRA since 2014, overseeing a team of examiners throughout the examination process. His role emphasizes the identification and evaluation of inherent risks associated with FINRA member firms. He collaborates closely with the Enforcement Department to ensure appropriate actions are taken against firms and registered representatives that violate regulations. Additionally, he provides strategic direction to examination staff, facilitating the successful implementation of regulatory programs. His responsibilities include coordinating with senior management to deliver comprehensive investigatory reports that focus on examination exceptions.
Education and Expertise
Jason Thomas holds an MBA in Finance from Mercy College, which he completed from 2007 to 2011. He also earned a Bachelor of Science in Finance from the same institution between 2003 and 2005. His educational background equips him with a robust understanding of financial principles and practices. He possesses extensive knowledge of various U.S. securities laws and regulations, including the Sarbanes-Oxley Act of 2002 and the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010.
Background
Before his current role at FINRA, Jason Thomas worked as an Operations Manager at MetLife Financial Services from 2007 to 2010. He also held the position of Principal Examiner at FINRA from 2011 to 2014, where he gained valuable experience in regulatory examination processes. His career trajectory reflects a consistent focus on financial services and regulatory compliance, contributing to his expertise in the field.
Achievements
Throughout his career, Jason Thomas has played a significant role in enhancing the examination processes at FINRA. His work involves not only directing examination teams but also ensuring that regulatory programs are effectively implemented. He has been instrumental in delivering thorough investigatory reports that address exam exceptions, thereby contributing to the overall integrity of the financial regulatory environment.