Marcia Tu
About Marcia Tu
Marcia Tu serves as the Vice President of Core Programs in Member Supervision at FINRA, where she has worked since 2020. She has extensive experience in compliance and regulatory risk, having held various leadership roles at Merrill Lynch and Credit Suisse over her career.
Current Role at FINRA
Marcia Tu serves as the Vice President of Core Programs in Member Supervision at FINRA, a position she has held since 2020. In this role, she focuses on overseeing compliance and regulatory matters related to broker-dealers and investment advisers. Her responsibilities include advising on compliance requirements and ensuring that member firms adhere to regulatory standards. Tu's work contributes to the integrity of the financial markets and the protection of investors.
Previous Experience at Merrill Lynch
Marcia Tu has extensive experience at Merrill Lynch, where she held several key positions from 1993 to 2009. She served as Senior Counsel for Investment Banking & Private Equity, Asia Pacific Head of Compliance - Institutional and Core, Global Head of Origination and Private Equity Compliance, and Global Head of Control Group. Her roles involved advising on compliance issues, drafting legal documentation, and managing regulatory risks across various regions, including New York, Hong Kong, and Thailand.
Experience at Credit Suisse
At Credit Suisse, Marcia Tu held significant positions from 2010 to 2018. She worked as the Director of Americas Compliance Strategy for six years and later served as the Director of the Regulatory Risk & Strategy Group for two years. In these roles, she was responsible for developing compliance strategies and analyzing regulatory risks, contributing to the firm's adherence to financial regulations.
Education and Legal Qualifications
Marcia Tu holds a Bachelor of Arts degree in Political Science from Vassar College and a Juris Doctor from New York University School of Law. Her educational background provides her with a strong foundation in both legal and political frameworks, which supports her expertise in compliance and regulatory matters within the financial services industry.
Expertise in Compliance and Regulatory Risk
Marcia Tu is recognized for her expertise in compliance requirements for broker-dealers, investment advisers, and banks. She has a proven track record in drafting legal documentation, policies, and procedures for complex legal transactions. Additionally, she is known for her ability to analyze and advise on regulatory risk issues, as well as her experience in creating FINRA and CFTC annual reports and management presentations.