Suzanne McGovern

Assistant Director

U.S. Securities and Exchange Commission

Suzanne McGovern, Assistant Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission. Ms. McGovern is an Assistant Director in the Broker-Dealer Examination Program. She has served in that capacity for approximately eight years and previously was a Branch Chief and a Staff Securities Examiner during her ten year tenure at the Commission. Prior to joining the Commission, Ms. McGovern worked for multiple Wall Street Firms for over 20 years, primarily in supervisory and compliance roles. In addition, her experiences include sales, trading, back office operations and recruiting. Ms. McGovern has held several securities licenses including the Series 3, 7, 8, 9, 63 and 65. Ms. McGovern is a graduate of Denison University with a B.A. in Economics.

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