Mimi Chan
About Mimi Chan
Mimi Chan serves as the Principal Investigator in the Department of Enforcement at FINRA, where she has worked since 2014. With over 20 years of experience in the securities industry, she has held various roles at FINRA and is recognized for her strong communication skills and proactive approach to her work.
Current Role at FINRA
Mimi Chan serves as a Principal Investigator in the Department of Enforcement at FINRA. She has held this position since 2014, contributing to the organization's regulatory oversight and enforcement actions. Her role involves investigating compliance issues and ensuring adherence to industry regulations.
Previous Experience at FINRA
Before her current role, Mimi Chan worked at FINRA in various capacities. She served as a Senior Examiner in the Sales Practice Department of Member Regulation from 2006 to 2010. Following this, she was an Associate Principal Examiner in the Membership Application Program Group from 2010 to 2014. Both roles were based in New York, New York, and provided her with extensive experience in regulatory practices.
Education and Expertise
Mimi Chan studied at the City University of New York-Brooklyn College. With over 20 years of experience in the securities industry, she has developed a deep understanding of regulatory practices, which informs her work in enforcement and examination.
Professional Skills
Mimi Chan is recognized for her highly effective verbal and written communication skills. These skills are essential for her role in enforcement, allowing her to convey complex regulatory information clearly and effectively. Additionally, she is known as a motivated self-starter, capable of initiating projects and sparking interest among her colleagues.