Lamiya Abasova
About Lamiya Abasova
Lamiya Abasova is a Compliance Examiner with over seven years of experience in brokerage clearing operations, currently working at FINRA since 2006. She specializes in analyzing sales practices, conducting compliance examinations, and has a background in regulatory reporting.
Work at FINRA
Lamiya Abasova has been employed at FINRA as a Compliance Examiner since 2006. In this role, she conducts on-site examinations and reviews of member firms' compliance programs and systems. Her responsibilities include analyzing sales practices and assessing the financial and operational conditions of member firms. Additionally, she investigates investor complaints and prepares detailed reports as part of her duties.
Experience in Brokerage Clearing Operations
Lamiya Abasova has over seven years of experience in brokerage clearing operations. Her expertise includes analyzing sales practices and assessing the financial and operational conditions of member firms. This experience has equipped her with a strong understanding of the regulatory landscape and the operational challenges faced by brokerage firms.
Education and Expertise
Lamiya Abasova studied at Pace University, where she earned a Bachelor of Arts degree in Finance from 1997 to 2000. Her educational background provides her with a solid foundation in financial principles, which she applies in her current role. Additionally, she possesses expertise in application management and Intranet development, enhancing her capabilities in compliance examination.
Previous Role at TD Ameritrade
Before joining FINRA, Lamiya Abasova worked as a Business Analyst at TD Ameritrade from 2004 to 2005 for a duration of nine months. In this position, she gained valuable experience in the financial services industry, contributing to her understanding of brokerage operations and compliance requirements.
Regulatory and Statistical Reporting Background
Lamiya Abasova has a strong background in regulatory and executive statistical reporting. This expertise is crucial in her role as a Compliance Examiner, where she analyzes data and prepares reports that inform regulatory decisions and compliance assessments.