Mark Bleich, Crcp
About Mark Bleich, Crcp
Mark Bleich, CRCP, serves as a Principal Analyst at FINRA, where he has worked since 1995. He holds both a B.A. and M.A. in Criminal Justice from the University of Maryland and The George Washington University, respectively, and has extensive experience in compliance, investigations, and team supervision.
Work at FINRA
Mark Bleich has been employed at the Financial Industry Regulatory Authority (FINRA) as a Principal Analyst since 1995. In this role, he supervises analysts on the Order Handling Team, ensuring adherence to FINRA and SEC Order Handling Rules. His responsibilities include reviewing reports that recommend actions against FINRA member firms and investigating potential violations by analyzing audit trails and utilizing various surveillance systems. Bleich also interacts with upper management regarding departmental policies, budgets, and rule changes, contributing to the overall compliance framework of the organization.
Education and Expertise
Mark Bleich holds a Bachelor of Arts degree in Criminal Justice from the University of Maryland and a Master of Arts degree in Criminal Justice from The George Washington University. His educational background provides a strong foundation for his analytical work in regulatory compliance and investigations. Bleich's expertise includes conducting interviews for employment candidates, completing performance evaluations, and obtaining on-the-record testimony from witnesses during investigations.
Background
Before joining FINRA, Mark Bleich worked at the U.S. Office of Personnel Management from 1989 to 1995, where he served as an Investigator, Reviewer, and Analyst for six years. In this capacity, he assisted team members with reviews and investigations, which included conducting interviews and taking testimony. His experience in personnel management and investigative processes has informed his current role at FINRA.
Achievements
Throughout his tenure at FINRA, Mark Bleich has contributed to various initiatives, including serving as a panelist during the annual Department conference focused on industry compliance and marketing personnel. His role in supervising analysts and ensuring compliance with regulatory standards reflects his commitment to maintaining the integrity of financial markets.