John Templeton
About John Templeton
John Templeton is an Associate Principal Examiner in Member Supervision at FINRA, where he has worked since 2022. He has extensive experience in compliance and regulatory examination, having held various positions in the finance sector since 2012.
Current Role at FINRA
John Templeton serves as an Associate Principal Examiner in Member Supervision at FINRA, a position he has held since 2022. Based in Denver, Colorado, he is responsible for leading examinations of varying risk levels with moderate supervision. His role involves conducting interviews with firm personnel independently during examinations and utilizing internal FINRA systems to gather regulatory intelligence. He analyzes and evaluates complex firm records and systems to ensure compliance with regulatory standards.
Previous Experience in Compliance and Finance
Prior to his current role, John Templeton accumulated extensive experience in compliance and finance across various organizations. He worked as a Compliance Officer at Beacon Global Advisor Network from 2020 to 2022 and as a Capital Markets Compliance Analyst at Regions Bank from 2017 to 2020. His earlier roles included serving as a Compliance Examiner at AIG Advisor Group and as an Associate Compliance Examiner at Cambridge Investment Research. His career began as a Municipal and Corporate Bond Broker at Carty and Company.
Mentorship and Leadership
In his professional capacity, John Templeton actively mentors junior staff in regulatory examination processes. His leadership extends to guiding less experienced colleagues through the complexities of compliance and regulatory standards, ensuring that they develop the necessary skills for effective examination practices.
Educational Background in Finance
John Templeton earned a Bachelor of Business Administration (B.B.A.) with a focus on Finance from Mississippi State University. His studies spanned from 2008 to 2011, providing him with a solid foundation in financial principles and practices that he has applied throughout his career in various compliance and financial roles.