Sean M. Tyson
About Sean M. Tyson
Sean M. Tyson serves as an Associate Principal Examiner at the Financial Industry Regulatory Authority (FINRA), where he has worked since 2017. He engages with member firms to discuss findings during regulatory exams and has a background in business and communications from Augustana College.
Work at FINRA
Sean M. Tyson has served as an Associate Principal Examiner at the Financial Industry Regulatory Authority (FINRA) since 2017. In this role, he participates in special projects and regulatory examinations managed by various teams within the compliance department. His responsibilities include direct communication with member firms through on-site visits, phone calls, and video chats to discuss potential findings during the examination process. Tyson also keeps abreast of regulatory changes, new regulations, and internal policy updates to identify key risk areas.
Previous Experience
Before joining FINRA, Sean M. Tyson worked for Eze Software Group/RealTick EMS as a Senior Client Specialist and Team Lead from 2009 to 2017. He also held the position of Senior Surveillance Investigator at the Chicago Stock Exchange for one year, from 2008 to 2009. Additionally, he worked as an IT Analyst at Bank of America for six months in 2007. His diverse experience in the financial industry has contributed to his expertise in compliance and regulatory matters.
Education and Expertise
Sean M. Tyson earned a Bachelor of Arts degree in Business and Communications from Augustana College, where he studied from 1997 to 2001. His educational background provides a foundation for his work in compliance and regulatory examinations. Tyson's expertise includes generating reports to support analysis and communicating potential findings of rule violations to member firms.
Regulatory Compliance Skills
In his current role at FINRA, Sean M. Tyson demonstrates strong skills in regulatory compliance. He actively participates in identifying new key risk areas by staying informed about regulatory changes and internal policy updates. His ability to generate various reports aids in the analysis and communication of potential findings related to rule violations, enhancing the compliance efforts of member firms.