SAJU GOPAL
San Ramon,CA
Summary
Highly motivated professional well-versed in leading successful projects and teams. Proven record of planning and executing projects and driving operational efficiency and productivity. Skilled communicator with the ability to motivate and inspire teams to drive positive outcomes and develop examiner talent. Keen ability to analyze complex data and develop innovative solutions. Adept at utilizing a combination of analytical, technical, and problem-solving skills to maximize team performance.
Overview
13
13
years of professional experience
Work History
Examination Manager
FINRA - Financial Industry Regulatory Authority
08.2015 - Current
- Leading examination team exclusively conducting fintech examinations.
- Strategizing, prioritizing risk reviews for fintech exams, evaluating and testing APIs, AI based investing tools, understanding, and testing new technology-based execution systems.
- Collaborating with Risk monitoring, FIU, Ad Reg, Advanced Analytics, OGC, OFI and other departments sharing new technology at firms to keep relevant internal constituents informed about new fintech developments at member firms.
- Proactively identifying and raising emerging regulatory issues, pattern of investor abuse, frauds, product suitability issues, and alerting all relevant departments about emerging issues, technology and problems identified at Fintech firms.
- Developed successful formal action against firms collaborating with above listed departments and enforcement.
- Coaching and guiding Fintech examination teams within ED group in conducting effective reviews of firm applications and AI based tools.
Associate Director
FINRA, Industry Regulatory Authority
07.2010 - 07.2015
- Actively monitored and managed the execution of regulatory programs for the San Francisco District office
- Served as a presenter and panelist for numerous member conferences and training sessions, including joint conferences with the SEC, SIFMA and other business groups
- Worked with the U.S. Department of Justice, US Attorney’s Office, Brooklyn and testified in Federal Court as an expert witness in two criminal cases against a Broker Dealer and Registered Representatives.
- Revamped existing MAP process and initiated centralization process and achieved significant efficiency, reduced processing time frames and enhanced the value of the application process.
Education
Bachelor of Science - Accounting And Finance
St. John's University
Queens, NY2000
BBA - Economics And Information Systems
University of Mumbai
Mumbai, India1997
Certificate -
Harvard University Online Courses 2023
Cambridge, MAThe Wharton School – University of Pennsylvania -
Certifications
FINRA Institute At WhartonAssociation of Certified Fraud Examiner (ACFE)
Certified Fraud Examiner (CFE)
2019
Advanced Analytics
Analytics At Georgetown
McDonough School Of Business 2023
Skills
- Leadership
- Project Management
- Strategic Planning
- Collaboration
- Innovation
- Coaching and Team Building
Timeline
Examination Manager
FINRA - Financial Industry Regulatory Authority
08.2015 - Current
Associate Director
FINRA, Industry Regulatory Authority
07.2010 - 07.2015
Bachelor of Science - Accounting And Finance
St. John's University
BBA - Economics And Information Systems
University of Mumbai
Certificate -
Harvard University Online Courses 2023
The Wharton School – University of Pennsylvania -
Certifications
Association of Certified Fraud Examiner (ACFE)
Certified Fraud Examiner (CFE)
Advanced Analytics
Analytics At Georgetown
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