Kevin Nixon
About Kevin Nixon
Kevin Nixon is an Examination Manager at FINRA, where he has worked since 2018. He has a background in financial examination and risk management, with previous roles at UBS and American Express Business.
Current Role at FINRA
Kevin Nixon has served as Examination Manager at the Financial Industry Regulatory Authority (FINRA) since 2018. In this role, he oversees examination processes and ensures compliance within the financial industry. His responsibilities include managing teams that conduct examinations of broker-dealers and ensuring adherence to regulatory standards. Nixon's position is based in New York, New York, where he has contributed to enhancing regulatory practices.
Previous Experience at FINRA
Before becoming Examination Manager, Kevin Nixon held several positions at FINRA. He worked as Principal Examiner from 2015 to 2018, where he focused on evaluating compliance with industry regulations. Prior to that, he served as Associate Principal Examiner from 2013 to 2015, contributing to the examination and oversight of financial firms. His extensive experience at FINRA has equipped him with a deep understanding of regulatory frameworks.
Experience at UBS
Kevin Nixon worked at UBS for a total of five years in various roles. He began as a Senior Branch Examiner from 2007 to 2010, where he assessed branch operations for compliance. After a brief period, he returned to UBS as a Field Supervision Analyst and Authorized Officer from 2010 to 2012. In these roles, he was responsible for supervising field operations and ensuring adherence to regulatory requirements.
Role at American Express Business
From 2012 to 2013, Kevin Nixon worked at American Express Business as an Operational Risk Manager. In this capacity, he was responsible for identifying and mitigating operational risks within the organization. His role involved analyzing risk factors and implementing strategies to enhance operational efficiency. This experience contributed to his overall expertise in risk management.
Educational Background
Specific details regarding Kevin Nixon's educational background are not provided. However, his extensive professional experience in regulatory compliance and risk management suggests a strong foundation in relevant fields. His career progression reflects a commitment to understanding and navigating the complexities of the financial industry.