Tyron Tyson
Senior Examiner Finra
- Role
- Senior Examiner, Examinations Diversified, Carrying & Clearing at FINRA
- Location
- Jersey City, NJ, US
- LinkedIn followers
- 500 followers
About Tyron Tyson
I rather aim for the stars and miss them, than to not aim at all! i rather try and…
Experience
Senior Examiner, Examinations Diversified, Carrying & Clearing
Jun 2023 — Present · US
We are responsible for the health of the United States securities markets by protecting investors and promoting market integrity.Lead examinations medium-low, and medium-high risk and complexity with moderate supervision. Conduct and memorialize discovery and risk reviews of medium-high risk and complexity. Interview firm personnel independently & gather regulatory intelligence using internal FINRA systems. Analyze and evaluate firm records (financial statements, purchase and sales blotters, correspondence, etc.) and systems (order management systems, supervisory alert systems, etc.). Identify exceptions, observations, and other findings. Complete key trainings, participate in meetings with firms, & ensure regulatory programs serve departmental goals and FINRA\'s mission in an efficient and effective manner.
Education
New Jersey City University, School of Business
Bachelor's of Science
Georgetown University McDonough School of Business
Executive Certificate
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