Tania L. Foucault

Principal Examiner @FINRA

Lead and manage various types of examinations of member firms, of all size, to assess compliance with FINRA and Federal issued laws and regulations.• Routinely engage with internal and external stakeholders to identify, plan, execute, and ensure the timely completion of examinations (via virtually and/or in person). • Create an actionable examination plan, specific to a firm’s business, products, and customer base, using risk-based methodologies and best practices.• Participate and facilitate internal trainings and learning opportunities in effort to convey best practices, greater efficiencies, and enhancements made to internal processes.• Mentor, train, and support peers, by providing the necessary tools and resources needed to succeed and excel in their respective roles.