Bill Richards

About Bill Richards

Juris Doctor Recent law school graduate with compliance experience in the financial…

Experience

1. Senior Analyst

   FINRA

   Jan 2024 — Present · New York, NY, US

   Conduct comprehensive risk assessments of broker-dealer firms across multiple regulatory domains, including market integrity, financial operations, and compliance.• Analyze complex financial documents, risk reports, and regulatory filings to identify potential regulatory violations.• Develop detailed investigative reports evaluating firms\' adherence to FINRA Rule 3110 supervisory control requirements.• Collaborate with enforcement teams to escalate significant compliance and risk management issues.• Identified and documented critical compliance gaps for member firms, resulting in multimillion dollar in regulatory interventions.• Developed enhanced risk assessment methodology that improved FINRA\'s predictive monitoring capabilities.• Streamlined regulatory review processes, reducing average assessment times.• Presented findings to senior leadership that informed strategic regulatory enforcement priorities.

Education

• Elisabeth Haub School of Law at Pace University

  Doctor of Law - JD

  2021 — 2023

• Georgia State University - J. Mack Robinson College of Business

  BBA

Skills

• Marketing
• Product Management
• Sponsorship
• Digital Media
• Digital Strategy
• Marketing Communications
• Distribution
• Advertising
• P&L Responsibility
• Management
• Publicity
• Social Networking
• Brand Awareness
• Licensing
• Social Media Marketing
• B2b
• Direct Marketing
• SEO
• Strategy
• E-Commerce
• Sem
• Scrum
• Event Planning
• Online Marketing
• Social Media
• Integrated Marketing
• New Media
• Mobile Marketing
• Sales
• Leadership
• Strategic Planning
• Business Development
• Entertainment
• Entrepreneurship
• Digital Marketing
• Relationship Marketing
• Public Relations
• Email Marketing
• Executive Management
• Copywriting