Sean Barrow
About Sean Barrow
Sean Barrow serves as an Examination Manager at the Financial Industry Regulatory Authority, where he has worked since 2006. He possesses a Bachelor of Business Administration in Finance from Baruch College and has extensive experience in financial examination and training.
Work at FINRA
Sean Barrow has served as an Examination Manager at the Financial Industry Regulatory Authority (FINRA) since 2006. In this role, he oversees the examination process, focusing on complex financial areas including custody and clearance, customer reserve, and fail to deliver close out. He is actively involved in the development of junior examiners, providing onsite training to enhance their skills in specific review areas. Barrow also participates in creating examination scopes, contributing to initiatives such as Repo 105 and the proper treatment of foreign affiliates and banks.
Education and Expertise
Sean Barrow earned a Bachelor of Business Administration (BBA) degree with a focus on Finance from Baruch College. His educational background provides a strong foundation for his extensive experience in the financial sector. Barrow's expertise includes reviewing complex financial areas and conducting training sessions for examination staff, which enhances the overall effectiveness of the examination process at FINRA.
Background
Before joining FINRA, Sean Barrow worked at Merrill Lynch as an Assistant Vice President (AVP) from 2002 to 2006. His role at Merrill Lynch allowed him to gain valuable experience in the financial industry, particularly in areas related to compliance and examination processes. This background has contributed to his capabilities in managing examinations and training junior staff at FINRA.
Achievements
Throughout his tenure at FINRA, Sean Barrow has been involved in presenting examination findings and discussing current issues at ROOR off-sites. His contributions to the development of examination scopes demonstrate his commitment to enhancing regulatory practices. Additionally, he provides both formal and informal training on customer reserves, further supporting the professional growth of his colleagues.