Manoj R.
About Manoj R.
Manoj R. is a Principal Examiner with extensive experience in compliance and risk management within the financial sector. He has worked for notable organizations such as FINRA, ICE, and BlackRock, and possesses a strong background in federal banking requirements and securities regulations.
Current Role at FINRA
Manoj R. currently serves as a Principal Examiner at FINRA, a position he has held since 2024. His role is based in Atlanta, Georgia, and operates in a hybrid work environment. In this capacity, he focuses on compliance requirements for securities and self-regulatory organizations, leveraging nearly a decade of experience in investments, compliance, and risk management.
Previous Experience at FINRA
Prior to his current role, Manoj R. worked at FINRA as an Associate Principal Examiner from 2016 to 2021. This five-year tenure took place in Chicago, Illinois, where he gained extensive knowledge in compliance frameworks and regulatory requirements pertinent to the financial industry.
Professional Background in Compliance
Manoj R. has a diverse professional background in compliance, having held various positions in notable organizations. He worked as a Manager of Compliance at ICE from 2023 to 2024, and as Principal at Promontory Financial Group from 2021 to 2022. His experience includes roles at BlackRock and Nuveen, where he specialized in compliance solutions and data management.
Educational Qualifications
Manoj R. holds a Bachelor of Arts in Economics from Case Western Reserve University, where he studied from 2011 to 2015. He is also pursuing a Master of Business Administration with a focus on Finance and Alternative Investments at Emory University - Goizueta Business School, expected to complete in 2025.
Expertise in Regulatory Compliance
Manoj R. possesses extensive expertise in federal and US banking requirements, including regulations from the US Treasury, OFAC, DOJ, OCC, CFPB, and the Federal Reserve. He is knowledgeable about compliance requirements for various self-regulatory organizations such as FINRA, CBOE, CME, and SEC, as well as emerging areas like crypto, DeFi, and Web3.