Michelle Liu

Experience

1. Principal Examiner

   FINRA

   Dec 2013 — Present

   The Financial Industry Regulatory Authority, Inc.(FINRA) is the largest independent regulator of securities firms doing business with the public in the United States. Our core mission is to pursue investor protection and market integrity, and we carry it out by overseeing virtually every aspect of the brokerage industry. All told, FINRA oversees about 4,250 brokerage firms, about 162,155 branch offices and approximately 629,525 brokers. FINRA regulates trading in equities, corporate bonds, securities futures, and options. All firms dealing in securities that are not regulated by another SRO, such as by the Municipal Securities Rulemaking Board (MSRB), are required to be member firms of the FINRA. FINRA licenses individuals and admits firms to the industry, writes rules to govern their behavior, examines them for regulatory compliance, and is sanctioned by the U.S. Securities and Exchange Commission (SEC) to discipline registered representatives and member firms that fail to comply with federal securities laws and FINRA\'s rules and regulations. It provides education and qualification examinations to industry professionals. It also sells outsourced regulatory products and services to a number of stock markets and exchanges (e.g. American Stock Exchange (AMEX) and the International Securities Exchange (ISE).

Skills

• Microsoft Excel
• Sarbanes-Oxley Act
• Forensic Accounting
• Due Diligence
• Valuation
• Management
• Compliance
• Microsoft Word
• Accounting
• Microsoft Office
• Internal Controls
• Auditing
• Finance
• Financial Accounting
• Internal Audit
• Gaap
• Corporate Tax
• Securities Regulation
• Ssae 16
• Financial Analysis
• Financial Statement Analysis
• Financial Reporting
• Generally Accepted Accounting Principles (Gaap)
• Quickbooks
• Fraud Detection
• Sas70
• Litigation Support
• Broker-Dealer Compliance
• Risk Assessment
• Analysis