Tran Truong
About Tran Truong
Tran Truong is an Associate Principal Examiner at FINRA, with over 15 years of experience in compliance, trade settlements, and regulatory operations. He has held various roles in prominent financial institutions, including Vice President at Greyline and Senior Examiner at FINRA.
Current Role at FINRA
Tran Truong serves as an Associate Principal Examiner at the Financial Industry Regulatory Authority (FINRA) since 2021. In this role, he focuses on identifying control issues, risk mitigation, and implementing process enhancements. His work involves ensuring compliance within financial operations and contributing to the regulatory framework that governs the financial industry.
Previous Experience in Financial Operations
Before his current position, Tran Truong worked at FINRA as a Senior Examiner in Financial Operations from 2016 to 2018. His responsibilities included overseeing compliance and regulatory matters related to financial transactions. He also held roles at Greyline as Vice President and at Dixon Hughes Goodman LLP as Lead Consultant and Senior Consultant, where he further developed his expertise in financial operations.
Background in Financial Analysis
Tran Truong's career began at Investors Bank & Trust as an Operations Specialist. He later joined Concordia Advisors, where he worked as a Business Analyst and in Fixed Income Operations. His experience spans over 15 years in compliance, trade settlements, and regulatory operations, showcasing his deep understanding of the financial industry.
Educational Qualifications
Tran Truong earned a Bachelor of Arts degree in Economics from the University of California, Los Angeles. This educational background provided him with a solid foundation in economic principles, which he applies in his professional roles within the financial sector.
Expertise in Trade Settlements
Tran Truong possesses expertise in fixed-income and equity settlements, trade processing, and cash/trade reconciliations. His skills in these areas contribute to his effectiveness in identifying control issues and implementing risk mitigation strategies in financial operations.