Sean Zhao, Cfa, Cfe
About Sean Zhao, Cfa, Cfe
Sean Zhao is a Principal Examiner at FINRA with over a decade of experience in the financial regulatory environment of Los Angeles. He holds both CFA and CFE certifications and has a background in finance and chemistry, having earned an MBA from the University of California, Riverside, and a BS from Shanghai Jiao Tong University.
Work at FINRA
Sean Zhao has been employed at FINRA as a Principal Examiner since 2010. In this role, he has accumulated over 14 years of experience in the financial regulatory environment in Los Angeles, California. His responsibilities include overseeing compliance with financial regulations and conducting examinations of financial firms to ensure adherence to industry standards.
Education and Expertise
Sean Zhao holds an MBA from the A. Gary Anderson Graduate School of Management at the University of California, Riverside, where he studied Finance. Additionally, he earned a Bachelor of Science in Chemistry from Shanghai Jiao Tong University. He possesses both CFA and CFE certifications, which demonstrate his expertise in financial analysis and fraud examination.
Background
Sean Zhao has over a decade of experience in the financial regulatory sector, specifically in Los Angeles. Before joining FINRA, he worked as an Investigator at the U.S. Department of Labor for seven months in Pasadena, California, from 2019 to 2020. His diverse educational background in finance and chemistry contributes to his unique approach in the financial regulatory field.
Professional Certifications
Sean Zhao holds two prominent professional certifications: the Chartered Financial Analyst (CFA) and the Certified Fraud Examiner (CFE). These certifications reflect his commitment to maintaining high standards of professionalism and expertise in financial analysis and fraud detection.