Justin M.
About Justin M.
Justin M. is a Principal Examiner at FINRA, where he conducts compliance examinations for broker-dealers. He has a background in finance and risk analysis, with previous roles at BNY Mellon, Franklin Templeton Investments, and Barnard Jacobs Mellett.
Current Role at FINRA
Justin M. serves as a Principal Examiner at FINRA, a position he has held since 2021. In this role, he conducts compliance examinations specifically for broker-dealers, ensuring adherence to regulations set by FINRA and the SEC. His responsibilities include evaluating order management systems and supervisory alert systems during these examinations. He formulates conclusions in written reports that encompass compliance assessments and narrative materials, contributing to the overall regulatory oversight of the financial industry.
Previous Experience in Financial Services
Justin M. has extensive experience in the financial services sector. He began his career at BNY Mellon, where he worked as an Associate for one year and later as an Execution Sales Trader for eight years, from 1999 to 2007. Following this, he worked at Barnard Jacobs Mellett as an International Equity Sales Trader for three years, from 2007 to 2010. He also held the position of Senior Business Risk Analyst at Franklin Templeton Investments for one year, from 2015 to 2016, where he focused on risk assessments.
Educational Background
Justin M. holds a Master of Science in Financial Risk from the University of Connecticut. He also earned a Bachelor of Science in Finance and Economics from Boston College. His educational background provides a strong foundation for his roles in financial analysis and compliance.
Compliance Evaluation Expertise
In his current role and previous positions, Justin M. has developed expertise in compliance evaluations. He performs risk reviews of varying complexity, focusing on low to medium-high risk assessments. His work involves analyzing firm records, including financial statements and purchase and sales blotters, as part of compliance evaluations to ensure regulatory adherence.