Shawn O’Neill

Shawn O’Neill joined FINRA in March of 1998 and is currently an Examination Director.  In this regard, Shawn manages a team of Examination Managers and Examiners responsible for the execution of the Capital Markets firm group and Funding Portal examination programs. Prior to joining FINRA, Shawn served in various capacities in the banking industry including working as a registered investment representative for a bank broker dealer. Shawn received his MBA from Loyola University of Chicago and his BA from Saint Xavier University.

6a. ALL - Risk Identification: The Foundation of a Great Risk Management Program (Basic - OPEN)