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    Susan Ye

    Glendale, California

    Principal Examiner

    Financial Industry Regulatory Authority, Inc

    Specialties

    Auditing & Compliance

    Investments

    Risk & Quantitative Analysis

    Where I've Worked
    F

    Aug 2014 – Present

    Principal Examiner

    Financial Industry Regulatory Authority, Inc
    U

    Mar 2014 – Jul 2014

    Interim BSA / AML Officer

    UnionBanc Investment Services
    E

    Oct 2011 – Dec 2012

    Field Supervision Director

    Edward D. Jones & Co. LLP

    Sep 2002 – Oct 2011

    Bond Trader

    U

    Jan 2013 – Jul 2014

    Compliance Specialist - Written Supervisory Procedures

    UnionBanc Investment Services
    Where I've Studied

    2000

    BA, Economics and Finance

    Washington University in St. Louis

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    Financial Industry Regulatory Authority, Inc

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