As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
Marie Katz has worked in the industry for over 25 years and brings a wealth of executive leadership through senior roles across compliance, finance, and risk for premiere organizations, including AIG Global Capital Markets, Bank of America, Royal Bank of Scotland and The New York Stock Exchange. Marie has also worked directly for FINRA as a Senior Examiner and maintains involvement as a FINRA Arbitrator. Given Marie's background as an equity analyst, she is widely recognized for her ability to bridge corporate strategy with financial projections alongside regulatory and compliance requirements for best practice-based infrastructure. Marie graduated with a B.A. in Political Science from Binghamton University and received her MBA from Fordham University.
She maintains the FINRA Series 7, 24, 27, 53, 63, 79 and 99 licenses.