John Merrick
About John Merrick
John Merrick is an Associate Principal Examiner at FINRA, where he has worked since 2021. He holds a Bachelor of Business Administration from Kennesaw State University and has previous experience as a Compliance Examiner and Senior Financial Representative.
Work at FINRA
John Merrick has been serving as an Associate Principal Examiner at FINRA since 2021. His role involves overseeing compliance and regulatory examinations within the financial industry. Based in Atlanta, Georgia, he contributes to ensuring that firms adhere to established regulations and standards. His experience at FINRA spans three years, during which he has engaged in various initiatives aimed at enhancing compliance oversight.
Previous Experience in Compliance
Before joining FINRA, John Merrick worked as a Compliance Examiner at Cambridge Investment Research, Inc. from 2018 to 2021. In this position, he focused on compliance issues and regulatory requirements, contributing to the firm's adherence to industry standards. His tenure lasted three years and provided him with valuable insights into the compliance landscape.
Background in Financial Services
John Merrick began his career in the financial services sector at E*TRADE, where he served as an Elite Client Services - Senior Financial Representative from 2015 to 2017. During this two-year period, he developed skills in client relations and financial services, which laid the groundwork for his future roles in compliance and examination.
Education and Expertise
John Merrick earned a Bachelor of Business Administration (B.B.A.) degree from Kennesaw State University - Michael J. Coles College of Business. His studies focused on Banking, Corporate, and Finance, spanning from 2002 to 2007. This educational background equipped him with a solid foundation in business principles and financial regulations, which he applies in his current role.