Robert Chao
About Robert Chao
Robert Chao is a Senior Director at FINRA, where he manages significant regulatory touchpoints and oversees risk assessments for firms. He has extensive experience in the financial services industry, including previous roles at UBS Financial Services and JP Morgan Securities.
Current Role at FINRA
Robert Chao serves as Senior Director at FINRA, a position he has held since 2020. In this role, he is responsible for ensuring awareness and management of significant regulatory touchpoints for firms within his purview. His work involves overseeing the risk assessment and planning of examinations tailored to specific Firm Groups or Subgroups. This position builds on his extensive experience in regulatory oversight and compliance.
Previous Experience at FINRA
Prior to his current role, Robert Chao worked at FINRA in various capacities. He served as Surveillance Director from 2015 to 2019, where he focused on monitoring and analyzing trading activities for compliance with regulations. Additionally, he held the position of Examination Director from 2009 to 2014, overseeing examination processes and ensuring adherence to regulatory standards.
Career at UBS Financial Services Inc.
Robert Chao worked at UBS Financial Services Inc. as Director from 2007 to 2009. In this role, he contributed to the firm's regulatory compliance efforts and risk management strategies. His experience at UBS provided him with a solid foundation in financial services and regulatory frameworks.
Experience at JP Morgan Securities
Before his tenure at UBS, Robert Chao was employed at JP Morgan Securities as Vice President from 2002 to 2007. His responsibilities included managing compliance and regulatory issues, which enhanced his expertise in the financial sector. This five-year experience laid the groundwork for his subsequent roles in regulatory oversight.