Raquel Thompson
About Raquel Thompson
Raquel Thompson is an Associate Principal Fixed Income Risk Specialist at FINRA, where she focuses on risk mitigation, compliance, and training. She has extensive experience in the finance sector, having held various roles at firms such as BP Amoco and JP Morgan Securities.
Current Role at FINRA
Raquel Thompson serves as an Associate Principal Fixed Income Risk Specialist at FINRA, a position she has held since 2020. In this role, she focuses on risk mitigation, emphasizing compliance, monitoring, surveillance, and investment banking. Thompson facilitates workshops and leads training discussions, particularly in the areas of ethics and compliance, contributing to the organization's commitment to maintaining high standards in the financial industry.
Previous Experience in Compliance and Risk Management
Before joining FINRA, Raquel Thompson accumulated extensive experience in compliance and risk management. She worked at BP Amoco as a Compliance Advisor from 2008 to 2014, where she focused on regulatory compliance in Chicago, IL. Additionally, she held a position at BMO Capital Markets as Compliance & Supervision - Trading Floor Surveillance from 2017 to 2018. Her background also includes significant roles at JP Morgan Securities, where she served as an Investment Officer and later as Associate Director, Funding Manager.
Educational Background and Qualifications
Raquel Thompson has a strong educational foundation in finance and business. She earned a Master of Business Administration (MBA) from Purdue University and studied finance at DePaul University. Additionally, she completed training at the Illinois Tax Training Institute, achieving the status of IRS Enrolled Agent. This diverse educational background supports her expertise in risk mitigation and compliance.
Career Development and Strategic Process Improvement
Throughout her career, Raquel Thompson has demonstrated a proven track record in the strategic development of processes and procedures. Her roles have involved not only compliance and risk management but also the facilitation of training and workshops aimed at enhancing ethical practices within organizations. This focus on continuous improvement has been a consistent theme in her professional journey.