Tom McGovern
Associate Principal Examiner @FINRA
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WORK HISTORY
Associate Principal Examiner @FINRA
New York, NY, US
Member of the Risk Oversight And Operational Regulation (ROOR) group. Conduct on-site examinations and assess member and member firm\'s financial and operational condition and their compliance with securities rules and regulations.
EDUCATION
Iona College
Bachelor of Business Administration - BBA
SKILLS
ABOUT TOM MCGOVERN
Pragmatic and tenacious problem solver, as well as a strong analytical thinker, possessing a comprehensive understanding of Financial Services. Adept at understanding, documenting, and interpreting complex business requirements and policies & procedures. A consensus builder who collaborates very effectively with key global stakeholders and other members of cross-functional teams. Driven to introducing systems and/or processes that improve work products or enhance efficiencies while simultaneously mitigating risk. Relentless in the pursuit, and ultimate achievement, of targeted client solutions within very dynamic and challenging work environments.Areas of expertise, or specialities, include:+ Project Delivery and Execution - Platform Integration, Business Transformation, Process Improvement/Reengineering+ Wealth Management - New Accounts & Account Maintenance, Cashiering, Order Management/Execution, Corporate Actions, Etc.+ Operational Risk Management / Internal Controls+ Data Analysis - Client, Account, Asset Class, Transaction+ People Management / Line Management Strengths include: tremendous attention to detail with intense focus on accuracy; outstanding interpersonal & client relationship management skills; and high ethical standards / integrity.Obtained FINRA Registration: General Securities Representative (Series 7).To discuss new opportunities in the NYC area, please contact me at t••••••••@verizon.net or 51••••••91.
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