Financial Examiner Resume

Rod Shaw

2565 Thrash Trail

Longview, TX 75601



Job Objective To use my skills to obtain the Financial Examiner positionand help the company benefit from my expertise in this field.

Highlights of Qualifications:

  • Good understanding of financial and accounting issues related to the regulated industries
  • Familiarity with Self-Regulatory Organization and SEC rules and regulations, and generally accepted accounting principles
  • Ability to evaluate the financial, operational, supervisory and internal control procedures
  • Ability to learn common accounting practices used in the banking industry

Professional Experience:

Financial Examiner, August 2005 – Present

Finra, Longview, TX

  • Examined and analyzed financial and operational compliance of Floor members and member organizations.
  • Examined members and member organization books and records to verify that their activities are in accordance with applicable SRO and SEC rules and regulations.
  • Reviewed subordination agreements for adherence with SEC and Exchange requirements.
  • Collaborated in a team environment and interacted with senior member firm and FINRA personnel.

Financial Examiner, May 2000 – July 2005

Financial Industry Regulatory Authority Inc., Longview, TX

  • Established guidelines for procedures and policies that complied with new and revised regulations and directed their implementation.
  • Planned, supervised and analyzed work of assigned subordinates.
  • Supervised other examiners in the financial examination process.
  • Recommended actions to ensure adherence with laws and regulations to protect solvency of institutions.
  • Reviewed balance sheets, operated income and expense accounts and loan documentation to confirm institution assets and liabilities.


Bachelor’s Degree in Accounting, Johnson & Wales University, North Miami, FL

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  • March 1, 2020Create Date
  • March 1, 2020Last Updated

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