Andrew Joseph
About Andrew Joseph
Andrew Joseph is a Principal Examiner at the Financial Industry Regulatory Authority (FINRA) in Chicago, Illinois. He has a diverse background in law and community outreach, having held various positions in legal and regulatory environments since 2009.
Current Role at FINRA
Andrew Joseph currently serves as a Principal Examiner at the Financial Industry Regulatory Authority (FINRA) since 2022. In this role, he is responsible for overseeing compliance and regulatory examinations within the financial services industry. His extensive experience at FINRA includes previous positions as Associate Principal Examiner and Examiner, where he contributed to the evaluation of broker-dealer operations and adherence to regulatory standards.
Previous Experience at FINRA
Andrew Joseph has held multiple positions at FINRA, beginning as an Extern in 2017. He transitioned to the role of Associate Examiner from 2017 to 2018, and then served as an Examiner from 2018 to 2020. He advanced to Associate Principal Examiner from 2020 to 2022. His tenure at FINRA has provided him with a comprehensive understanding of financial regulations and compliance practices.
Education and Expertise
Andrew Joseph earned his Juris Doctor (J.D.) from Chicago-Kent College of Law, Illinois Institute of Technology, completing his studies from 2014 to 2017. He also holds a Bachelor of Arts in Political Science from Southwestern University, where he studied from 2008 to 2012. His educational background equips him with a solid foundation in law and regulatory frameworks.
Early Career and Internships
Andrew Joseph's early career includes various internships and externships that provided him with practical experience in legal and compliance settings. He worked as a Judicial Extern for Hon. William Stewart Boyd at the Cook County Circuit Court in 2015 and for Hon. Robert E. Gordon at the Illinois Appellate Court. Additionally, he served as a Compliance Intern at Duff & Phelps and as a Development Intern at the Texas Civil Rights Project.
Community Engagement
In 2011, Andrew Joseph worked as a Community Outreach representative for Save Our Springs Alliance in Austin, Texas, for three months. This role involved engaging with the community to promote environmental awareness and advocacy. His commitment to community service is further reflected in his work with the National Disability Institute as an Administrative Assistant from 2012 to 2014.