Rachael Thompson
About Rachael Thompson
Rachael Thompson serves as an Associate Principal Analyst for Customer Issues at the Financial Industry Regulatory Authority (FINRA), where she has worked since 2014. With a strong background in financial services regulations and expertise in customer trading issues, she has held various roles within FINRA over the past decade.
Work at FINRA
Rachael Thompson has been employed at the Financial Industry Regulatory Authority (FINRA) since 2008. She started her career at FINRA as a Call Center Agent, where she worked for two years. In 2010, she transitioned to the role of Regulatory Analyst, a position she has held for 14 years. In 2014, she became a Senior Analyst focusing on Short Sales, and in 2016, she advanced to the role of Associate Principal Analyst in Customer Issues. Throughout her tenure, she has developed expertise in handling customer issues related to trading activities.
Education and Expertise
Rachael Thompson holds a Bachelor's degree in Sociology from Clark University, where she studied from 2004 to 2007. Prior to that, she earned two Associate's degrees: one in Human Services from SUNY Ulster, completed in 2004, and another from Ulster County Community College in 2004. Her educational background supports her expertise in the financial services industry, particularly in regulatory matters and customer issue resolution.
Background
Rachael Thompson has a strong foundation in the financial services industry, with a focus on regulatory compliance and customer service. Her career at FINRA spans over 15 years, during which she has gained extensive experience in reviewing trading activities and addressing customer concerns. Her roles have allowed her to develop a comprehensive understanding of industry regulations and best execution practices.
Achievements
Throughout her career at FINRA, Rachael Thompson has focused on Best Execution concerns while reviewing trading activities on behalf of customers. Her work involves ensuring that broker-dealer firms adhere to regulatory standards and effectively address customer issues related to trading. This focus has contributed to her reputation as a knowledgeable professional in the regulatory landscape.