Robert Chao

Robert Chao Email and Phone Number

Senior Director at FINRA @ FINRA
washington, district of columbia, united states
Robert Chao's Location
New York, New York, United States, United States
Robert Chao's Contact Details

Robert Chao work email

Robert Chao personal email

Robert Chao phone numbers

About Robert Chao

Robert Chao is a Senior Director at FINRA at FINRA.

Robert Chao's Current Company Details
FINRA

Finra

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Senior Director at FINRA
washington, district of columbia, united states
Website:
finra.org
Employees:
4865
Robert Chao Work Experience Details
  • Finra
    Senior Director
    Finra Jan 2020 - Present
    Single point of accountability for the risk assessment, planning and execution of examinations, based on risks identified for a particular Firm Group/Sub group. Aware of significant regulatory touchpoints for firms within the covered Group/Subgroup.
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  • Finra
    Surveillance Director
    Finra Jan 2015 - Dec 2019
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  • Finra
    Examination Director
    Finra Jul 2009 - Dec 2014
    View
  • Ubs Finl Services Inc Of Puerto Rico
    Financial Principal (Interim Cfo)
    Ubs Finl Services Inc Of Puerto Rico Jun 2008 - Jul 2009
  • Ubs Financial Services Inc.
    Director
    Ubs Financial Services Inc. Jul 2007 - Jul 2009
    *Responsible for reporting requirements related to UBS FSI and UBS Services broker/dealers.*Act as primary contact in all audits and regulatory examinations from internal/external auditors as well as SEC, FINRA, CME Group, NFA, and others.
    View
  • Jp Morgan Securities
    Vice President
    Jp Morgan Securities Mar 2002 - Jul 2007
    *Manage the SEC regulatory reporting group responsible for all filings to the SEC, NYSE and all other B/D related regulatory bodies.
    View

Frequently Asked Questions about Robert Chao

What company does Robert Chao work for?

Robert Chao works for Finra

What is Robert Chao's role at the current company?

Robert Chao's current role is Senior Director at FINRA.

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