Katie Zhu
About Katie Zhu
Katie Zhu is an Associate Principal Examiner at FINRA, where she has worked since 2018. She has extensive experience in risk and compliance roles at various financial institutions, including Barclays and Merrill Lynch.
Current Role at FINRA
Katie Zhu currently serves as an Associate Principal Examiner at the Financial Industry Regulatory Authority (FINRA). She has held this position since 2018, contributing to the regulatory oversight of financial markets. In her role, she focuses on examining compliance with industry regulations and standards, ensuring that firms adhere to the necessary guidelines to maintain market integrity.
Previous Experience at Barclays
Katie Zhu has extensive experience at Barclays, where she worked in various capacities. She was part of the Markets Risk and Control team for one year from 2017 to 2018. Prior to that, she spent five years in Trade and Transaction Reporting from 2010 to 2015, and two years in Compliance Transformation from 2015 to 2017. Her roles involved managing risk and ensuring compliance with regulatory requirements.
Experience at Merrill Lynch
Before her tenure at Barclays, Katie Zhu worked at Merrill Lynch from 2007 to 2010 as part of the Risk and Control team. During her three years there, she focused on identifying and mitigating risks associated with financial operations, contributing to the firm's overall risk management strategy.
Educational Background
Katie Zhu earned her Bachelor of Business Administration (BBA) degree in Accounting from Pace University. She attended the university from 2000 to 2004, where she developed a strong foundation in accounting principles and practices, which has supported her career in financial regulation and risk management.
Early Career at FINRA
Katie Zhu began her career at FINRA, where she worked as an Examiner from 2004 to 2007. In this role, she conducted examinations of member firms to ensure compliance with regulatory standards. This early experience provided her with valuable insights into the regulatory landscape of the financial industry.