Mark Ramler
Director FINRA/Former Audit Partner
- Role
- Director, Office of Financial & Operational Risk Policy at FINRA
- Location
- New York, NY, US
- LinkedIn followers
- 500 followers
About Mark Ramler
Over 40 years of public accounting experience in serving financial services companies with expertise in both the securities industry and asset management. Securities industry expertise encompasses carrying and non-carrying broker-dealers including: retail and institutional brokerage, correspondent clearing, market-making, alternative trading systems, investment banking and prime brokerage. Asset management industry expertise includes hedge, private equity, mortgage finance and real estate funds as well as business development companies. Served 10 years on the AICPA Stockbrokerage and Investment Banking Expert Panel and has served on the FINRA Financial Responsibility Committee for 6 years.
Experience
Director, Office of Financial & Operational Risk Policy
Mar 2022 — Present · New York, NY, US
Education
Brooklyn College
Bachelor of Science - BS
Skills
- External Audit
- Internal Audit
- Financial Accounting
- Gaap
- Sarbanes-Oxley Act
- Internal Controls
- Auditing
- Sec Filings
- Due Diligence
- Financial Reporting
- Cpa
- Broker-Dealer
- Assurance
- Us Gaap
- Revenue Recognition
- Accounting
- Financial Analysis
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