Michael Solomon
About Michael Solomon
Michael Solomon serves as the Senior Vice President of Examinations at FINRA, where he oversees the national Examination Program. He has extensive experience in regulatory and compliance roles across various financial institutions and has held senior leadership positions at FINRA since 2022.
Current Role at FINRA
Michael Solomon currently serves as the Senior Vice President of Examinations at the Financial Industry Regulatory Authority (FINRA) since 2022. In this role, he oversees the strategic direction and execution of FINRA's national Examination Program. His leadership is critical in ensuring that the examination processes align with regulatory standards and effectively address compliance issues within the financial industry.
Previous Experience at FINRA
Prior to his current position, Solomon held multiple senior leadership roles at FINRA. He served as Senior Vice President and Senior Regional Director for the North East from 2014 to 2019, and as Senior Vice President and Regional Director for the NY Region from 2011 to 2014. His tenure at FINRA has contributed to his extensive knowledge of regulatory practices and compliance within the financial sector.
Legal Education and Background
Michael Solomon earned his Juris Doctor (JD) degree from New York University School of Law, completing his studies from 1986 to 1989. He also holds a Bachelor of Arts (BA) in Psychology from Wesleyan University, which he attended from 1981 to 1985. His educational background provides a strong foundation for his legal career, particularly in regulatory and compliance roles.
Career in Financial Regulation
Solomon has a diverse career in financial regulation, having worked in both private sector financial institutions and regulatory bodies. His previous roles include serving as Trial Counsel at NYSE from 1994 to 1997, and as Assistant District Attorney at the Manhattan District Attorney's Office from 1989 to 1994. He has also held positions at various financial firms, including Jefferies & Company, UBS, and Merrill Lynch, where he focused on regulatory, litigation, and employment law.
Expertise in Regulatory Compliance
With extensive experience in regulatory and compliance roles, Michael Solomon has developed a comprehensive understanding of the complexities involved in financial regulations. His expertise encompasses various aspects of regulatory compliance, litigation, and employment law, making him a knowledgeable leader in the field. His work has significantly impacted the regulatory landscape within the financial industry.