Svitlana Kovtun, MBA
About Svitlana Kovtun, MBA
Svitlana Kovtun, MBA, serves as a Principal Examiner at the U.S. Securities and Exchange Commission, bringing extensive experience in risk oversight and operational regulation from her tenure at FINRA. She holds an MBA from State University of New York Empire State College and has developed expertise in regulatory compliance and securities examination.
Work at FINRA
Svitlana Kovtun has held multiple positions at the Financial Industry Regulatory Authority (FINRA) since 2012. She began her career at FINRA as an Associate Examiner, serving from 2012 to 2014 in the Greater New York City Area. She progressed to the role of Examiner from 2014 to 2016 and then served as a Senior Examiner in Risk Oversight & Operational Regulation from 2016 to 2018 in New York, NY. In 2018, she became an Associate Principal Examiner, a position she held until 2019. Currently, she works as a Principal Examiner at FINRA, a role she has occupied since 2019.
Current Role at U.S. Securities and Exchange Commission
Since 2022, Svitlana Kovtun has been employed as a Compliance Examiner at the U.S. Securities and Exchange Commission (SEC) in New York, NY. In this role, she focuses on securities compliance examination, ensuring that financial regulations are adhered to by various entities. Her expertise in regulatory compliance is instrumental in her current responsibilities.
Education and Expertise
Svitlana Kovtun earned her Master of Business Administration (MBA) from the State University of New York Empire State College, where she studied Business Management from 2018 to 2021. Prior to that, she obtained a Bachelor of Arts in Finance from Baruch College, studying from 2009 to 2012. Her educational background complements her professional expertise in risk oversight and operational regulation, particularly in areas related to SEA 15c3-1 (Net Capital), SEA 15c3-3 (Customer Protection), and FINRA Rule 4210.
Professional Experience Prior to FINRA
Before joining FINRA, Svitlana Kovtun gained valuable experience in the financial sector. She interned at UBS Wealth Management in 2011 for three months in New York, NY. Additionally, she worked as a Sales Assistant at State Farm Insurance from 2010 to 2011 in Queens, NY. These roles contributed to her foundational knowledge in finance and customer service.