Phillip Holley
Associate Principal Examiner - FINRA
- Role
- Associate Principal Examiner at FINRA
- Location
- Atlanta, GA, US
- LinkedIn followers
- 500 followers
About Phillip Holley
Arts Administration and financial investment services professional with 10 years’…
Experience
Associate Principal Examiner
Mar 2022 — Present · Rockville, MD, US
Conducts risk-based examinations of FINRA member firms and registered representatives• Leads examinations of low risk and complexity with direct supervision• Conducts and memorializes discovery and risk reviews of low risk and complexity• Participates in meetings with firms• 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
Education
Morehouse College
Bachelor of Arts
2003 — 2007
Drexel University
Master of Science
2009 — 2015
Skills
- Securities
- Public Speaking
- Event Management
- Mutual Funds
- Event Planning
- Investments
- Marketing
- Team Building
- Microsoft Office
- Sales
- Fundraising
- Insurance
- Customer Service
- Process Improvement
- Non-Profits
- Nonprofit Organizations
- Leadership
- Strategic Planning
- Budgets
- Nonprofits
- Research
- Financial Analysis
- Analysis
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