Matthew King, Cfe
About Matthew King, Cfe
Matthew King is an Associate Principal Analyst at FINRA, responsible for monitoring compliance of broker-dealers with SEC and FINRA guidance. He has a diverse background in finance and compliance, with previous roles at EY, AMC Networks, and other organizations.
Current Role at FINRA
Matthew King serves as an Associate Principal Analyst at FINRA since 2022. In this role, he is responsible for monitoring the compliance of over 50 broker-dealers with SEC and FINRA guidance. He proactively communicates with these broker-dealers to address and resolve compliance concerns efficiently. Additionally, he elevates significant compliance matters to senior management and recommends appropriate next steps. His expertise in compliance and regulatory matters contributes to the integrity of the financial industry.
Previous Experience at FINRA
Before his current position, Matthew King worked at FINRA as a Senior Analyst from 2020 to 2022. During this time, he gained valuable experience in compliance monitoring and analysis. His role involved assessing compliance issues and collaborating with broker-dealers to ensure adherence to regulatory standards. This experience laid the foundation for his current responsibilities as an Associate Principal Analyst.
Education and Expertise
Matthew King studied at The O'Malley School of Business at Manhattan College, where he earned a Master of Business Administration (MBA) in Accounting from 2016 to 2017. He also holds a Bachelor of Science (B.S.) in Accounting from the same institution, which he completed from 2013 to 2016. His educational background equips him with a strong foundation in accounting principles and financial regulations, essential for his roles in compliance and analysis.
Professional Background
Matthew King's professional background includes various roles in finance and compliance. He worked as a Forensic Accounting Analyst at StoneTurn Group for four months in 2016-2017. Prior to that, he held positions at EY as an FSO Assurance Senior and Intern, gaining experience in assurance and compliance from 2017 to 2020. His earlier roles include positions at AMC Networks, Hearst Magazines, and The Madison Square Garden Company, where he developed skills in financial analysis and compliance.
Early Career and Development
Matthew King's early career included roles that contributed to his development in the finance sector. He worked as a Graduate Assistant at Manhattan College for 11 months in 2017 and as a Lifeguard at TCR~ The Club of Riverdale from 2015 to 2016. Additionally, he served as Assistant Pool Manager at THE RADBURN ASSOCIATION from 2014 to 2018. These positions provided him with foundational skills in management and communication that have been beneficial in his subsequent roles.