Michael Locke
About Michael Locke
Michael Locke serves as a Principal Examiner at FINRA, a position he has held since 2022. He has extensive experience in the financial sector, having previously worked in various roles at FINRA and JPMorgan Chase & Co.
Work at FINRA
Michael Locke has been serving as a Principal Examiner at FINRA since 2022. In this role, he is responsible for overseeing regulatory examinations and ensuring compliance within the financial industry. Prior to this position, he worked as an Associate Principal Examiner from 2020 to 2022, also at FINRA. His tenure at FINRA includes a previous role as a Senior Examiner from 2018 to 2020, contributing to his extensive experience in regulatory oversight.
Previous Experience in Banking
Before joining FINRA, Michael Locke held various positions in the banking sector. He worked at JPMorgan Chase & Co. as a Private Client Banker from 2010 to 2017, where he managed client relationships and provided financial advice. He also served as a Financial Advisor at JPMorgan Chase & Co. from 2008 to 2010. His earlier roles include Assistant Branch Manager and Supervisor at TCF Bank, where he gained foundational experience in branch operations and customer service.
Education and Expertise
Michael Locke earned a Bachelor’s Degree in Business Management from Northern Illinois University, completing his studies from 2000 to 2004. This educational background has equipped him with essential skills in management and finance, which he has applied throughout his career in both banking and regulatory roles.
Career Progression
Michael Locke's career has shown a steady progression through various roles in finance and banking. He began his career at TCF Bank as a Supervisor in 2005, later advancing to positions such as Investment Specialist and Assistant Branch Manager. His experience at JPMorgan Chase & Co. further solidified his expertise in client services and financial advising, leading to his eventual roles at FINRA.