Michelle Liu
About Michelle Liu
Michelle Liu serves as a Principal Examiner at the Financial Industry Regulatory Authority (FINRA), where she oversees regulatory compliance for a large number of brokers and branch offices. She holds a Master in Public Administration and an Advanced Certificate in Forensic Accounting from the City University of New York-John Jay College of Criminal Justice.
Work at FINRA
Michelle Liu serves as a Principal Examiner at the Financial Industry Regulatory Authority (FINRA) since 2013. In her role, she oversees regulatory compliance for approximately 629,525 brokers and 162,155 branch offices. Liu contributes to the development and enforcement of rules that govern the behavior of securities firms in the United States. She participates in the examination of brokerage firms to ensure adherence to federal securities laws and FINRA regulations. Additionally, she engages in the education and qualification examination process for industry professionals, ensuring that they meet the necessary standards.
Education and Expertise
Michelle Liu studied at the City University of New York-John Jay College of Criminal Justice, where she earned a Master in Public Administration with a focus on Inspector General from 2011 to 2013. She also completed an Advanced Certificate in Forensic Accounting at the same institution in 2013. Her educational background equips her with expertise in fiscal policy analysis and oversight, which supports her regulatory role at FINRA.
Background
Before joining FINRA, Michelle Liu gained experience in the financial sector through various roles. She worked as a Forensics Core Summer Associate at PwC in 2011 for two months, where she was involved in forensic analysis. Following that, she served as a Litigation Services Consultant at EisnerAmper LLP from 2012 to 2013 for one year, contributing her skills in litigation support and forensic accounting.
Professional Contributions
In her capacity at FINRA, Michelle Liu plays a significant role in overseeing compliance and regulatory frameworks within the securities industry. Her work ensures that a vast number of brokers and branch offices adhere to established laws and regulations. Liu's involvement in the examination process and her contributions to the education of industry professionals highlight her commitment to maintaining integrity within the financial sector.