Stephen Shaw
About Stephen Shaw
Stephen Shaw serves as an Associate Principal Examiner at FINRA, where he has worked since 2021. He holds a Master of Science in Accounting from Caldwell University and has a strong background in quality assurance and diversity initiatives within the financial services sector.
Current Role at FINRA
Stephen Shaw serves as an Associate Principal Examiner at FINRA, a position he has held since 2021. In this role, he focuses on regulatory examination and oversight within the financial services sector. His responsibilities include evaluating compliance with industry regulations and ensuring that firms adhere to high standards of practice. Shaw's experience in this role builds on his previous positions at FINRA, where he contributed to various quality assurance and transformation projects.
Previous Experience at FINRA
Prior to his current role, Stephen Shaw worked at FINRA in various capacities. He served as an Associate Examiner from 2018 to 2019, where he began to develop his expertise in regulatory oversight. Following this, he held the position of Examiner from 2019 to 2021, further enhancing his skills in compliance and examination processes. During his tenure, he was involved in quality assurance projects and participated in workstream transformation initiatives.
Education and Expertise
Stephen Shaw obtained a Master of Science (M.S.) in Accounting from Caldwell University, completing his studies from 2016 to 2017. He also holds a Bachelor of Science (B.S.) in Accounting from the same institution, which he earned between 2012 and 2016. His educational background provides a solid foundation for his career in financial services and regulatory examination.
Leadership and Community Involvement
Stephen Shaw is actively involved in promoting diversity and inclusion within the workplace. He serves as Co-Chair of the FINRA Pride Alliance Management Committee, which focuses on LGBTQ+ inclusion. Additionally, he is the Project Lead on FINRA's Racial Justice Task Force, demonstrating his commitment to fostering an inclusive environment within the organization and the broader financial services industry.
Early Career Experience
Before joining FINRA, Stephen Shaw gained diverse experience in various roles. He worked as a Brand Ambassador at Abercrombie & Fitch from 2015 to 2016, where he engaged with customers and promoted brand awareness. He also held positions as an Accounting Assistant at TAO Group and an Administrative Assistant at Caldwell University, further developing his professional skills in accounting and administration.