Head of Capital Markets Examinations
- Short Bio:Thomas Mellett – Mr. Mellett is the Head of Capital Markets Examinations for FINRA’s Member Supervision department. From his base in FINRA’s San Francisco office, Mr. Mellett is responsible for oversight of the national examination program for FIRNA members that are primarily engaged in Capital Markets business activities, including Institutional Private Placements, Investment Banking, Mergers & Acquisitions, Product Origination & Wholesaling, and Public Finance, among others. Prior to this role, Mr. Mellett was the District Director of FIRNA’s San Francisco District Office, where he was responsible for the office’s examination and risk monitoring programs. From 2013 to 2015, Mr. Mellett was the Surveillance Director of FINRA’s Denver and Seattle District Offices, where he supervised regulatory coordinators who planed examinations and conducted risk monitoring of member firms. From 2010 through 2012, Mr. Mellett was an Examination Manager in San Francisco, where he responsible for supervising routine examinations of member firms. He transitioned into management after working as an examiner in the New York District Office, where he contributed to many high-profile and complex investigations. Mr. Mellett is designated as a Certified Regulatory and Compliance Professional (CRCP) through the FINRA Institute. Mr. Mellett holds a bachelor’s degree in finance from Bentley University.
March 9, 2021, 14:00
Regulatory Interchange Webinar featuring FINRA