Mai Nguyen
About Mai Nguyen
Mai Nguyen serves as the Principal Regulatory Coordinator at Nasd, where she has worked since 2018. She holds a Bachelor of Business Administration from Georgia State University and a Doctor of Jurisprudence from the University of Georgia School of Law.
Current Role at NASD
Mai Nguyen serves as the Principal Regulatory Coordinator at NASD, a position she has held since 2018. In this role, she is responsible for coordinating regulatory activities and ensuring compliance with industry standards. Her experience in this capacity spans six years, during which she has contributed to the organization's regulatory framework in Washington, District of Columbia.
Previous Experience at NASD
Before her current role, Mai Nguyen worked at NASD as a Principal Examiner from 2016 to 2018. During her two years in this position, she focused on evaluating compliance with regulatory requirements. This experience provided her with a solid foundation in regulatory oversight and examination processes.
Education and Expertise
Mai Nguyen earned her Bachelor of Business Administration with a focus on Finance from Georgia State University. She furthered her education at the University of Georgia School of Law, where she obtained her Doctor of Jurisprudence. Her academic background equips her with a strong understanding of both finance and legal principles, essential for her roles in compliance and regulation.
Professional Background in Compliance
Prior to her tenure at NASD, Mai Nguyen worked at PFS Investments as an AML Compliance Officer and Securities Compliance Attorney from 2012 to 2016. Her four years in this role involved ensuring adherence to anti-money laundering regulations and securities laws. Additionally, she gained legal experience as a Legal Extern at the U.S. Securities and Exchange Commission and Intercontinental Hotels Group in 2011.