Andrew Tse

Experience

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  ESG Company

  Sept 1994 - Feb 1996

  Accountant
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  BHF Securities Inc.

  Mar 1996 - Apr 2000

  Assistant Treasurer
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  BNY Securities Group

  May 2000 - Jul 2005

  Senior Analyst
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  Citigroup

  Aug 2005 - May 2010

  Regulatory Reporting, VP

  Senior financial analyst with extensive regulatory experience related to the FOCUS report, 15c3-1 net capital computation, 15c3-3 customer reserve calculation, SOX and Basel II requirements. Worked with operations and technology groups to institute better controls on areas critical to capital usage of which included reverse repo/repo, stock loan/borrow charges and residual inventory haircuts. Handled accounting systems conversions, led teams on outlining proper internal risk control procedures, and heavily involved in assessing regulatory issues on the adoption of new affiliates resulting from acquisitions. Show less

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  FINRA

  May 2010 - now

  Monitor member firms' financial and operational areas to ensure compliance with FINRA & SEC rules and regulations. Evaluate their financial and operational conditions through the review and analysis of financial reports and other relevant data. Participate in planning examinations and provide interpretations of FINRA, SEC and other regulations to assist member firms in conducting business within regulatory guidelines. Identify member firms' potential financial or operational difficulties and assist FINRA management in resolving problem situations. Monitor & evaluate mergers, acquisitions, conversions and significant expansions of business. Analyze and evaluate new products to determine compliance with established rules and regulations. Work with division staff on special projects and participate in member firms' examinations. Review, analyze and communicate findings to member firms' senior management Show less

  • Director, Member Supervision at FINRA

    Apr 2023 - now

  • Managing Regulatory Coordinator

    May 2010 - Apr 2023