Sadat A. Rashid
Principal Examiner @FINRA
Signup · Get unlimited contacts
WORK HISTORY
Principal Examiner @FINRA
US
Leads examinations of large/complex broker/dealer firms, including delegation of work and advancing a high standard of operational excellence in executing supervisory program and associated operational processes relating to SEA Rule 15c3-3, 15c3-1 and FINRA financial responsibility rules.• Actively provides guidance, mentoring, coaching and training to junior staff within the job area.
EDUCATION
City University of New York-Baruch College
Bachelor of Business Administration (BBA)
ABOUT SADAT A. RASHID
A seasoned finance professional with best-in-class knowledge in broker/dealer regulation, financial and internal controls audits. CPA licensed.
This profile is compiled from publicly available professional sources. Unifers is not affiliated with or endorsed by LinkedIn. Request removal of this profile.