Timothy O'hanlon
About Timothy O'hanlon
Timothy O'Hanlon is a Principal Examiner at the Financial Industry Regulatory Authority, where he has worked since 2012. He has extensive experience in compliance and auditing, having held various positions at notable financial institutions including State Street Bank, UBS Wealth Management, and TD Ameritrade.
Current Role at FINRA
Timothy O'Hanlon has served as a Principal Examiner at the Financial Industry Regulatory Authority (FINRA) since 2012. In this role, he is responsible for overseeing compliance and regulatory examinations within the financial industry. His work involves assessing firms' adherence to regulatory standards and identifying areas for improvement. O'Hanlon's extensive experience in compliance and auditing contributes to his effectiveness in this position, where he has been active for over a decade in the Greater New York City Area.
Previous Experience in Financial Services
Prior to his current role at FINRA, Timothy O'Hanlon held several significant positions in the financial services sector. He worked at Misick & Stanbrook and Caribbean Management Services as Chief Anti-Money Laundering Officer from 2009 to 2012. Before that, he served as a Regional Compliance Officer at UBS Wealth Management for one year in 2008-2009. His earlier experience includes a four-year tenure as V.P. of Compliance at TD Ameritrade from 2002 to 2006 and a role as Senior Internal Auditor at State Street Bank from 2006 to 2008.
Educational Background
Timothy O'Hanlon studied at Boston University, where he earned a degree in Economics. This educational background has provided him with a solid foundation in economic principles and financial regulations, which are essential in his roles within the financial industry. His academic achievements complement his professional experience, enhancing his understanding of compliance and regulatory frameworks.
Career Progression in Compliance
Timothy O'Hanlon has a diverse career trajectory in compliance and auditing, beginning as a Senior Branch Examiner at UBS Wealth Management from 2000 to 2002. He then transitioned to TD Ameritrade as V.P. of Compliance, where he worked for four years. His experience at State Street Bank as Senior Internal Auditor further solidified his expertise in compliance. O'Hanlon's roles have consistently involved oversight and regulatory compliance, culminating in his current position at FINRA.