Joshua R.
About Joshua R.
Joshua R. serves as a Senior Principal Investigator in the Special Investigations Unit at FINRA, focusing on financial crimes and compliance issues within the financial industry. He has a background in claims examination and holds an MBA from The University of Kansas.
Work at FINRA
Joshua R. serves as a Senior Principal Investigator in the Special Investigations Unit at FINRA, a role he has held since 2015. In this position, he focuses on financial crimes and threats that impact the financial industry. He leads special projects within the unit and conducts investigations related to broker-dealers' compliance with the Bank Secrecy Act and the PATRIOT Act. His work is crucial in ensuring that financial institutions adhere to regulatory requirements and maintain integrity in their operations.
Previous Experience at NASSCO
Before joining FINRA, Joshua R. worked at NASSCO as a Claims Examiner from 2006 to 2014. During his eight years in this role, he was based in San Diego. His experience at NASSCO provided him with a solid foundation in claims processing and management, which contributed to his expertise in financial investigations.
Education and Expertise
Joshua R. holds a Master of Business Administration (MBA) from The University of Kansas, where he studied from 2021 to 2023. He also earned a Bachelor of Science (B.S.) in Business Administration and Management from San Diego State University-California State University, completing his degree from 2003 to 2006. His educational background equips him with a comprehensive understanding of business principles and financial regulations.
Focus on Financial Crimes
In his current role at FINRA, Joshua R. specializes in investigating financial crimes and threats to the financial industry. His focus includes ensuring compliance with critical legislation such as the Bank Secrecy Act and the PATRIOT Act. This specialization highlights his commitment to protecting the integrity of financial markets and institutions.