Jeffrey Nathanson
About Jeffrey Nathanson
Jeffrey Nathanson is a Principal Examiner at FINRA, where he has worked since 2021. He has extensive experience in compliance and finance, having previously held positions at Morgan Stanley and Merrill Lynch.
Current Role at FINRA
Jeffrey Nathanson serves as a Principal Examiner at FINRA, a position he has held since 2021. He works in Chicago, Illinois, where he is responsible for overseeing compliance examinations and ensuring adherence to regulatory standards within the financial industry. His role involves analyzing financial practices and identifying potential areas of risk.
Previous Experience in Compliance
Prior to his current role, Nathanson worked at Morgan Stanley as a Compliance Examiner from 2018 to 2021 in the Greater Chicago Area. His responsibilities included monitoring compliance with regulatory requirements and assisting in the development of compliance policies. He also held the position of Associate Principal Compliance Examiner at FINRA from 2012 to 2018, where he focused on compliance assessments.
Financial Services Background
Nathanson has a diverse background in the financial services sector. He began his career as an intern at Merrill Lynch in 2007 and later worked as a Financial Advisor at The Heartland Group from 2009 to 2010. He also served as a Registered Client Associate at Morgan Stanley Smith Barney from 2011 to 2012, where he supported client account management and service.
Education and Qualifications
Jeffrey Nathanson earned a Bachelor of Business Administration (BBA) in Finance from the Wisconsin School of Business, completing his studies from 2004 to 2007. His educational background provides a strong foundation for his roles in compliance and financial advisory.