Tim is responsible for the execution of FINRA initiatives, including the analysis and research on broker-dealer regulatory issues, the preparation of reports and Regulatory Notices, such as the FINRA Annual Regulatory Oversight Report, as well as provides key support to the stakeholder engagement initiatives. Tim recently functioned as the Ethics Office Policy Liaison for Member Supervision. Tim received a B.A. in Economics from Rutgers University and a M.A. from New York University in Performance and Information System Auditing. Known as a proficient strategic project leader that focuses on process improvement, analytical and technology-based solutions, stakeholder collaboration, and staff engagement. Areas of expertise include: Surveillance | Examination | Testing and Monitoring | Capital Markets Compliance | Best Execution | Trading and Sales Advisory | Policies and Procedures | Ethics Policies and Processes | Data Analytics l Training | Internal Controls | Oversight Functions | BCP