John Macharia
About John Macharia
John Macharia serves as the Examination Manager at the Financial Industry Regulatory Authority (FINRA), where he has worked since 2015. He has extensive experience in regulatory examinations and financial reporting, with a career spanning both regulatory and private sectors.
Work at FINRA
John Macharia has served as Examination Manager at the Financial Industry Regulatory Authority (FINRA) since 2015, contributing to regulatory oversight in the Greater Atlanta Area. His role involves conducting routine and special examinations, as well as branch exams, ensuring compliance with industry standards. Prior to his current position, he worked as Principal Regulatory Coordinator at FINRA from 2011 to 2015 in the Kansas City, Missouri Area. His extensive experience at FINRA also includes a decade as a Special Investigator from 1997 to 2007, where he conducted formal and informal interviews as part of investigations.
Education and Expertise
John Macharia studied at the University of Georgia - Terry College of Business, where he gained foundational knowledge in business and finance. His expertise encompasses conducting examinations and managing financial and regulatory reports, including FOCUS reports, annual audits, and 17a-11 filings. He possesses skills in managing examination teams and producing management reports, which are essential for regulatory compliance.
Background
John Macharia has a diverse professional background that spans both regulatory and private sectors. Before joining FINRA, he worked as Divisional Controller at Wells Real Estate Funds from 2007 to 2009. His career at FINRA began in 1997, where he developed a deep understanding of regulatory frameworks and compliance requirements, which he has applied throughout his career.
Achievements
Throughout his career, John Macharia has provided guidance to senior management of broker-dealers on compliance with NASD, SEC, and MSRB rules and regulations. His role as Examination Manager involves overseeing examination processes and ensuring adherence to regulatory standards, contributing to the integrity of the financial industry.