Byron Morales

Experience

1. Principal Examiner

   FINRA

   Jul 2014 — Present · Kansas City, MO, US

   Conduct on-site examinations and assesses member firms’ financial and operational conditions and compliance with securities rules and regulations. • Examine member firms’ books and records to verify that activities are properly recorded and are in compliance with customer protection and other applicable rules and regulations. • Analyze internal controls in key areas of risk and evaluates systems used by member firms to determine quality and reliability. • Interact with firm personnel in areas such as operations, trading, compliance, risk management and regulatory reporting and reviews the records prepared in each area including the net capital and reserve formula computations. • Review trading floor activities of member firms to ensure compliance with SRO and SEC rules and regulations. • Prepare written reports and conducts exit interviews to provide member firms with information on regulatory concerns noted during exams. • Work in a team environment, with opportunities to supervise others and interact with senior member firm and FINRA personnel

Education

• Dominican University

  Bachelor of Science & MBA

  2000 — 2006

Skills

• Process Improvement
• Marketing
• Analysis
• Risk Management
• Strategic Planning
• Auditing
• Team Leadership
• Management
• Accounting
• Financial Analysis
• Budgets
• Marketing Strategy
• Sarbanes-Oxley Act