Robert Schmidt
About Robert Schmidt
Robert Schmidt is a Principal Analyst in Risk Monitoring at FINRA, where he has worked since 2014. Previously, he served as Managing Director of Corporate Compliance at Intercontinental Exchange - NYSE Regulation from 2007 to 2014.
Work at FINRA
Robert Schmidt has served as a Principal Analyst in Risk Monitoring at FINRA since 2014. In this role, he conducts risk monitoring activities and collaborates with various internal departments to coordinate examinations. His responsibilities include acting as a liaison for FINRA member firms within the Capital Markets and Investment Banking Services group. Schmidt's work involves making recommendations based on regulatory intelligence, contributing to the organization's overall compliance and risk management efforts.
Previous Experience at Intercontinental Exchange
Before joining FINRA, Robert Schmidt worked at Intercontinental Exchange - NYSE Regulation as a Managing Director in Corporate Compliance from 2007 to 2014. During his seven years in this position, he was involved in overseeing compliance operations and ensuring adherence to regulatory requirements. His experience in the Greater New York City Area provided him with a solid foundation in corporate compliance and risk management.
Education and Expertise
While specific educational details are not provided, Robert Schmidt's extensive experience in risk monitoring and corporate compliance indicates a strong background in finance and regulatory practices. His expertise is further demonstrated through his current role at FINRA, where he applies his knowledge to conduct risk assessments and collaborate on examinations within the financial services industry.
Background
Robert Schmidt has built a career in risk monitoring and compliance within the financial services sector. His tenure at both FINRA and Intercontinental Exchange highlights his commitment to regulatory adherence and risk management. Based in the Greater New York City Area, he has developed a network of professional relationships that support his role in liaising with member firms and coordinating compliance efforts.