John Mc Govern
About John Mc Govern
John Mc Govern is an Associate Principal Examiner at FINRA, where he has worked since 2020 in the New York City Metropolitan Area. He has extensive experience in compliance and regulatory examinations, having held various senior roles in the financial services industry.
Work at FINRA
John Mc Govern has served as an Associate Principal Examiner at FINRA since 2020. In this role, he conducts examinations and ensures compliance with regulatory standards within the financial services industry. His work is critical in maintaining the integrity of the markets and protecting investors. Mc Govern operates in the New York City Metropolitan Area, contributing to the oversight of broker-dealers and other financial entities.
Education and Expertise
John Mc Govern holds a Bachelor of Arts in Liberal Arts from Iona University. He also earned a Master of Business Administration in Finance from Fordham University. His educational background provides a strong foundation for his extensive expertise in compliance and regulatory matters within the financial sector.
Background
Before joining FINRA, John Mc Govern accumulated significant experience in compliance roles across various financial institutions. He served as Chief Compliance Officer at Prudential Financial and AIG Advisor Group. His career also includes positions as a Senior Consultant at Ascendant Compliance Management and Compliance Advisory Services, Inc., where he focused on compliance policy creation and implementation.
Professional Experience
John Mc Govern has a diverse professional background in the financial services industry. He worked as a Senior Vice President at SMITH BARNEY and held multiple compliance roles at Prudential Financial, AIG Advisor Group, and other firms. His experience includes conducting examinations with regulatory bodies such as the SEC and state regulators, showcasing his proficiency in compliance and regulatory oversight.
Achievements in Compliance
Throughout his career, John Mc Govern has demonstrated a strong ability to work both independently and as part of a team. He has served as an industry consultant to broker/dealers, hedge funds, and registered investment advisers, focusing on compliance policies and procedures. His contributions have played a vital role in enhancing compliance frameworks within the organizations he has worked with.