Man Yi Lee
About Man Yi Lee
Man Yi Lee is an Associate Principal Examiner at FINRA, where he applies Scrum and Agile methodologies to lead development teams and ensure compliance with regulatory standards. With a background in risk identification and process redesign, he has held various roles in compliance and project management across several financial institutions since the late 1990s.
Work at FINRA
Man Yi Lee has served as an Associate Principal Examiner at FINRA since 2019. In this role, he applies Scrum and Agile methodologies to lead development teams in implementing systems that align with organizational objectives. His responsibilities include staying current on regulatory changes to ensure effective management of Compliance and Regulatory Reporting. Lee is recognized for his integrity and commitment to ensuring compliance with industry standards.
Previous Experience in Project Management
Prior to his current role, Lee held various positions in project management and compliance. He worked at Eze Software as Associate Director of Product Management from 2010 to 2019. He also served as Vice President of Project Management at Convergex / RealTick LLC from 2010 to 2013. His experience includes roles as a Compliance Analyst at Barclays / RealTick LLC and Lehman Brothers / RealTick LLC, where he focused on risk identification and regulatory strategy.
Education and Expertise
Lee earned a Bachelor's degree in Information and Decision Science from the University of Illinois at Chicago, where he studied from 1994 to 1997. He also briefly attended the CFA Institute in 2014. His educational background supports his expertise in regulatory compliance, risk management, and process redesign. Lee is skilled in interviewing, gathering requirements, and performing data and gap analysis to deliver effective solutions.
Background in Quality Assurance
Lee began his career as a Quality Assurance Analyst at CCC Information Services from 1999 to 2000. He later worked as a Technical Specialist for the International Tax Technology Group at Ernst & Young from 1997 to 1998. His early experiences laid the foundation for his subsequent roles in compliance and project management, contributing to his comprehensive understanding of regulatory frameworks.