John Cogswell
Examination Manager at Finra
Based in Boston, United States
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Seniority
Manager
Department
Operations
Location
Boston
Industry
Financial Services
Company size
6.1K
Contact information
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j•••••••@finra.org
Phone
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Background
About John Cogswell
Experienced manager with front-line examination and supervisory experience with FINRA (formerly NASD). Lead and manage teams to proactively mitigate risks, enhance detective and preventive controls at member firms, or to investigate businesses and/or individuals for conduct in violation of applicable Rules. Manage and perform investigative steps to develop cases, collaboratively with Counsel for FINRA's Department of Enforcement. Engage people and plans to positively impact the self-regulatory mission of investor protection and market integrity. Career exposure includes risk-based cycle and cause examination programs, new and continuing membership applications, surveillance/financial monitoring, qualitative and quantitative risk assessments, member relations/educational initiatives, product-specific sweeps, and managing relationships with other regulators.
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