Ronald Chan
About Ronald Chan
Ronald Chan serves as the Director of Risk Monitoring at FINRA, a position he has held since 2013. He has prior experience as Vice President of Regulatory Reporting at Citi and as a Senior Analyst of Internal Controls at Fidelity Investments.
Work at FINRA
Ronald Chan has served as the Director of Risk Monitoring at FINRA since 2013. In this role, he is responsible for overseeing risk management processes and ensuring compliance with regulatory standards. His tenure at FINRA spans over 11 years, during which he has contributed to enhancing the organization's risk assessment frameworks and monitoring activities within the Greater New York City Area.
Previous Experience at Citi
Prior to his current role, Ronald Chan worked at Citi as Vice President of Regulatory Reporting from 2010 to 2013. In this position, he focused on ensuring that the bank met regulatory requirements and maintained accurate reporting practices. His experience at Citi lasted for three years and took place in the Greater New York City Area.
Experience at Fidelity Investments
Ronald Chan began his career at Fidelity Investments, where he served as a Senior Analyst in Internal Controls from 2006 to 2010. During his four years at Fidelity, he was involved in assessing and improving internal control processes, contributing to the organization's operational integrity. This role was also based in the Greater New York City Area.
Professional Background
Ronald Chan has a solid professional background in risk management and regulatory compliance. His career includes significant roles in prominent financial institutions, where he has developed expertise in risk monitoring and regulatory reporting. His experience spans over a decade in the financial services industry, primarily in the Greater New York City Area.