Ana Mascolo
About Ana Mascolo
Ana Mascolo is a Securities Compliance Examiner at the U.S. Securities and Exchange Commission, where she has worked since 2012. She has a background in compliance and client services, having previously held positions at Morgan Stanley and Merrill Lynch.
Work at U.S. Securities and Exchange Commission
Ana Mascolo has been employed at the U.S. Securities and Exchange Commission (SEC) as a Securities Compliance Examiner since 2012. In this role, she is responsible for ensuring compliance with federal securities laws and regulations. Her work involves reviewing financial documents, conducting investigations, and collaborating with other regulatory bodies to maintain market integrity. Ana's tenure at the SEC has spanned over a decade, contributing to the agency's mission to protect investors and maintain fair, orderly, and efficient markets.
Previous Experience in Financial Compliance
Before her current position at the SEC, Ana Mascolo worked as a Compliance Officer at Morgan Stanley from 2006 to 2012. During her six years in this role, she focused on ensuring that the firm adhered to regulatory requirements and internal policies. Prior to that, she served as an International Client Specialist at Merrill Lynch from 1998 to 2003. In this capacity, she supported international clients and ensured compliance with relevant regulations.
Education and Expertise
Ana Mascolo studied at Berkeley College, where she earned an Associate's degree from 1995 to 1998. She then attended Rutgers University, achieving a Bachelor of Applied Science in 1999. Additionally, she has been studying at Kean University since 2003, furthering her education and expertise in the field of compliance and finance. Her academic background supports her professional roles in securities compliance.
Professional Development
Ana Mascolo has engaged in continuous professional development throughout her career. Her educational journey includes significant time spent at multiple institutions, enhancing her knowledge and skills in compliance and finance. This commitment to learning has enabled her to effectively navigate the complexities of regulatory environments in her roles at various financial institutions and the SEC.