Quan Vo
About Quan Vo
Quan Vo is an Analyst in Market Regulation at FINRA, where he has worked since 2020. He holds a Double BS in Operations Management & Business Analytics and Information Systems from the University of Maryland, and has experience in investigating potential violations of client rules and ensuring compliance with federal securities laws.
Current Role at FINRA
Quan Vo serves as an Analyst in the Market Regulation department at FINRA, a position held since 2020. In this role, he participates in investigations of potential violations of FINRA and RSA client rules. His responsibilities include contributing to the analysis of trading activities to ensure compliance with federal securities laws. He is also involved in routine reviews of market activities as part of the regulatory team, which plays a crucial role in maintaining market integrity.
Education and Expertise
Quan Vo earned a Double Bachelor of Science degree in Operations Management & Business Analytics and Information Systems, with a minor in Japanese, from the University of Maryland College Park. His studies spanned from 2014 to 2019. Additionally, he studied at Tohoku University for one year, from 2016 to 2017. This educational background equips him with a strong foundation in both analytical and operational aspects of market regulation.
Previous Experience at University of Maryland
Before joining FINRA, Quan Vo held two positions at the University of Maryland. He worked as a Student Admission Representative from 2018 to 2019, where he engaged with prospective students and assisted in the admissions process. Following this role, he served as a Financial Aid Representative for six months in 2019, helping students navigate financial aid options and processes. These experiences contributed to his skills in communication and customer service.
Involvement in Regulatory Investigations
In his current role at FINRA, Quan Vo has participated in investigations focused on potential violations of market regulations. His work involves analyzing trading activities to ensure adherence to federal securities laws. This aspect of his role is critical in identifying and addressing compliance issues within the financial markets.