Kathleen Murphy
About Kathleen Murphy
Kathleen Murphy is an Associate Principal Examiner at the Financial Industry Regulatory Authority, a position she has held since 2013. She has a background in finance and compliance, with previous roles at Northwestern Mutual and H&R Block.
Current Role at FINRA
Kathleen Murphy serves as an Associate Principal Examiner at the Financial Industry Regulatory Authority (FINRA). She has held this position since 2013, accumulating over 11 years of experience in the role. Her responsibilities include overseeing compliance and regulatory examinations within the financial industry, ensuring adherence to established standards and practices.
Previous Experience at Northwestern Mutual
Prior to her current role, Kathleen Murphy worked at Northwestern Mutual in various capacities. From 2008 to 2011, she served as Associate Director of Network Office Supervision. Additionally, she worked in Investment Operations and Compliance from 2007 to 2011. Her tenure at Northwestern Mutual spanned a total of four years, during which she gained significant experience in financial operations and compliance.
Experience at H&R Block
Kathleen Murphy began her career as a Tax Specialist I at H&R Block, where she worked from 2004 to 2013. Over the course of nine years, she developed expertise in tax preparation and client service, contributing to her foundational knowledge in financial services.
Education and Academic Background
Kathleen Murphy earned her Master of Business Administration (MBA) from California State University Channel Islands, studying from 2009 to 2011. Prior to that, she completed her Bachelor of Science in Business Administration with a focus on Business and Economics from the same institution, graduating in 2008. Her academic background supports her professional expertise in finance and compliance.