Brad Kessler

About Brad Kessler

Regulatory Compliance| Control Management | Corporate Relations | Financial Research & AnalysisI currently utilize my Equities trading background of 20+ years by participating in examinations on behalf of FINRA (Financial Regulatory Authority). I gather regulatory intelligence, analyze and evaluate firm records and systems, and identify Exceptions to share with Firms regarding their Exams. Oftentimes, I will lead these exams of varying risk and complexity with minimal supervision. Additionally, I assist, train, and mentor team members and colleagues with reviews of varying complexity.With a strong financial and corporate relations background, I have previously been a driver of revenue and consistently surpassed expectations for my employers. One of the things for which I am valued is my ability to conduct research and apply my findings to help my clients with decisions that positively impact their business. With a prior focus on corporate relations, financial global markets news analysis, and closed-end funds/equities trading, I delivered relevant and timely information in connection with market intelligence and technical analysis for companies under coverage. In addition to my robust market knowledge, I was recognized by clients for my ability to build relationships based on trust and ongoing communication. Capitalizing on my understanding of the financial markets, I offered research and advisory services that drove significant value. Constantly in pursuit of new challenges, I managed relationships with 1200+ publicly listed companies, including C-level leaders and investor relations professionals.FINRA PAL License for Peer Mentoring; FINRA Career Development Mentorship Program; FINRA Foundational Crypto Asset Certification; NYSE Specialist / DMM Exam; Bloomberg ProfessionalCore Competencies Include:Regulatory ComplianceRevenue Growth & Business Development Global Financial News AnalysisFinancial Industry PartnershipsStakeholder RelationshipsRelationship Management Team EngagementClient Development Market IntelligenceProduct Strategy

Experience

1. Principal Examiner

   FINRA

   Sep 2024 — Present · New York, NY, US

   Leads examinations of all levels of risk and complexity with minimal supervision• Performs delegated supervisory functions and provides constructive feedback on work product, supporting examination quality and team development.• Conducts and memorializes discovery and risk reviews of all levels of risk and complexity• Proactively identifies notable trends and participates in national projects• Interviews firm personnel independently• Gathers regulatory intelligence using internal FINRA systems• Analyzes and evaluates firm records (financial statements, purchase and sales blotters, correspondence, etc.) and systems (order management systems, supervisory alert systems, etc.)• Ensure regulatory programs serve departmental goals and FINRA\'s mission in an efficient and effective manner.• Identifies exceptions, observations, and other findings• Trains and mentors junior staff and new hires• Demonstration of FINRA’s values• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Education

• University of Michigan

  Bachelor’s Degree, Economics

  1996 — 2000

Skills

• Microsoft Word
• Microsoft Excel
• Powerpoint
• Salesforce.com
• Closed-End Funds
• Structured Products
• Closed End Funds
• News Analysis
• Equity Trading
• Asset Management
• Trading Systems
• Capital Markets
• Series 7
• Fixed Income
• Bloomberg
• Finra
• Investments
• Market Making
• Finance
• Electronic Trading
• Corporate Relations
• Securities
• Financial Markets
• Portfolio Management
• Financial Services
• Bloomberg Terminal
• Equities
• Trading