Stephanie Ellis
About Stephanie Ellis
Stephanie Ellis serves as an Examination Manager at FINRA, where she has worked since 2020. She holds multiple FINRA licenses and has over a decade of experience in regulatory compliance and financial examinations.
Work at FINRA
Stephanie Ellis has been serving as an Examination Manager at FINRA since 2020. In this role, she oversees regulatory compliance and financial examinations, ensuring adherence to industry standards. Prior to her current position, she worked as a Principal Examiner at FINRA from 2010 to 2020, where she gained extensive experience in compliance and examination processes. Her tenure at FINRA spans over a decade, contributing significantly to the organization’s mission of protecting investors and maintaining market integrity.
Education and Expertise
Stephanie Ellis holds a Bachelor’s Degree in Business Administration from Bentley University, which she completed from 2016 to 2019. Her educational background complements her professional expertise in regulatory compliance and financial examinations. She possesses multiple FINRA licenses, including Series 24, 7, 51, 66, and Life and Health in Massachusetts, which further underscores her qualifications in the financial services sector.
Background
Before joining FINRA, Stephanie Ellis held various compliance roles in the financial industry. She worked as a Compliance Manager at Boston Partners Financial Group from 2007 to 2010, where she focused on compliance oversight. Following this, she served as a Compliance Advisor in Surveillance at Commonwealth Financial Network for a brief period in 2010. Her career trajectory reflects a strong commitment to regulatory compliance and financial examination.
Achievements in Compliance and Examination
Stephanie Ellis has over a decade of experience in compliance and examination roles within the financial industry. Her work has involved significant contributions to regulatory oversight and compliance management. Throughout her career, she has developed a deep understanding of financial practices and regulatory requirements, enhancing her effectiveness in her current role at FINRA.