Ryan P. Moy, Cpa
About Ryan P. Moy, Cpa
Ryan P. Moy is a Principal Compliance Examiner at the Financial Industry Regulatory Authority (FINRA), where he focuses on enhancing compliance functions and conducting disciplinary depositions. He has a background in accounting and finance, with previous roles at various financial institutions and a strong educational foundation in accounting.
Work at FINRA
Ryan P. Moy has served as a Principal Compliance Examiner in the Retail Unit at the Financial Industry Regulatory Authority (FINRA) since 2013. In this role, he is responsible for proposing recommendations to firms aimed at enhancing their compliance functions. He coordinates and conducts depositions of personnel identified for disciplinary actions, ensuring adherence to regulatory standards. His work involves establishing trusted dialogues with the investing public to investigate complaints and concerns, contributing to the integrity of the financial industry.
Previous Experience
Before joining FINRA, Ryan P. Moy held several positions in the finance and compliance sectors. He worked as a Compliance Auditor II at the National Futures Association (NFA) from 2010 to 2012. Prior to that, he was an Assistant Vice President of Finance/Regulatory Reporting at Deutsche Bank for one year in 2009. He also served as Associate Director of Accounting/Regulatory Reporting at UBS Wealth Management from 2001 to 2009. His early career included a position as a Senior Assistant Auditor at Deloitte & Touche from 1999 to 2001.
Education and Expertise
Ryan P. Moy holds a Bachelor's degree in Accounting from Rutgers, The State University of New Jersey-Newark, which he completed from 1994 to 1998. He also earned a Master's degree in Accountancy from Rutgers, The State University of New Jersey - Rutgers Business School. His foundational education includes a high school diploma from Seton Hall Preparatory School, achieved from 1989 to 1993. His academic background supports his extensive expertise in compliance and regulatory reporting.
Achievements in Compliance
Throughout his career, Ryan P. Moy has been involved in significant compliance initiatives. Notably, he uncovered securities and municipal bond frauds exceeding $10,000,000 through thorough investigations. His role in compliance has included proposing enhancements to essential compliance functions and actively participating in a selective mentoring program, which fosters both learning and instruction synergies within the industry.
Background
Ryan P. Moy began his career in finance and compliance after completing his education. His early experience included roles that laid the groundwork for his expertise in regulatory matters. He worked at Linden Roselle Sewerage Authority as Financial Manager for one year in 2012-2013. His diverse background in various financial institutions has equipped him with a comprehensive understanding of compliance and regulatory frameworks.