Tom Mc Govern
About Tom Mc Govern
Tom McGovern is an Associate Principal Examiner at FINRA, specializing in operational risk management and internal controls. He has extensive experience in the financial sector, having held various roles at Morgan Stanley, Barclays Wealth and Investment Management, and Mitchell Martin Inc.
Work at FINRA
Currently, Tom Mc Govern serves as an Associate Principal Examiner at the Financial Industry Regulatory Authority (FINRA). He has held this position since 2018, contributing to the Risk Oversight and Operational Regulation (ROOR) group. In this role, he assesses member firms' compliance with securities rules and regulations and conducts on-site examinations. His work focuses on operational risk management and internal controls, emphasizing the importance of maintaining high ethical standards and integrity in the financial industry.
Previous Experience at Morgan Stanley
Tom Mc Govern has extensive experience at Morgan Stanley, where he worked for a total of 13 years from 1999 to 2012, including roles as a Project Manager and Department Manager. His responsibilities included managing projects and overseeing departmental operations. He also served as a Senior Business Analyst/Project Manager from 2012 to 2014, focusing on data analysis across various domains such as client, account, asset class, and transaction management. His tenure at Morgan Stanley provided him with a strong foundation in wealth management and operational efficiency.
Experience at Barclays Wealth and Investment Management
From 2015 to 2017, Tom Mc Govern worked as a Senior Business Analyst/Project Manager at Barclays Wealth and Investment Management / Mitchell Martin Inc. During this period, he utilized his skills in operational risk management and client relationship management. His work involved improving efficiencies and mitigating risks within the organization, further enhancing his expertise in the financial services sector.
Education and Expertise
Tom Mc Govern studied at Iona College, where he earned a Bachelor of Business Administration (BBA) with a focus on Finance. His educational background complements his professional experience, particularly in operational risk management and internal controls. He holds a FINRA Registration as a General Securities Representative (Series 7), which underscores his commitment to maintaining high ethical standards and integrity in his professional conduct.
Skills and Professional Attributes
Tom Mc Govern is recognized for his outstanding interpersonal and client relationship management skills. He is known for his tremendous attention to detail and a strong focus on accuracy in his work. His expertise spans operational risk management, internal controls, and wealth management, including new accounts, account maintenance, cashiering, order management, and corporate actions. These skills contribute to his effectiveness in assessing compliance and conducting examinations in his current role at FINRA.