Paxton Dunn
About Paxton Dunn
Paxton Dunn serves as the Director of Risk Monitoring Standards in Member Supervision at FINRA, where he has worked since 2022. With over 20 years of experience in the financial services industry, he specializes in compliance, risk monitoring, and regulatory risk assessment.
Work at FINRA
Paxton Dunn currently serves as the Director of Risk Monitoring Standards in Member Supervision at FINRA, a position he has held since 2022 in Dallas, Texas. His role involves overseeing risk monitoring standards and ensuring compliance within the organization. Prior to this, he worked at FINRA in various capacities, including Principal Analyst and Principal Examiner. His tenure at FINRA spans over 17 years, during which he has held multiple roles focused on regulatory compliance and risk assessment.
Education and Expertise
Paxton Dunn earned a Bachelor of Business Administration (BBA) degree in Finance from Angelo State University, completing his studies from 1998 to 2002. He possesses extensive expertise in regulatory risk assessment and has a deep understanding of FINRA, SEC, and MSRB regulations. His specialization includes areas such as the Net Capital Rule, Regulatory Reporting, Sales Practices, Fraud, and Anti-Money Laundering.
Background
With over 20 years of experience in the financial services industry, Paxton Dunn has developed a strong focus on compliance and risk monitoring. His career at FINRA began in 2003 and has included various roles, such as Principal Regulatory Coordinator and Manager of Risk Monitoring. His experience encompasses both regulatory and operational aspects of financial compliance.
Achievements
Throughout his career, Paxton Dunn has collaborated with high-level stakeholders across regulatory bodies, the private sector, and charitable organizations. His work has contributed to enhancing regulatory operations, procedures, and controls within FINRA, reflecting his commitment to improving compliance standards in the financial services industry.