Nicole McCafferty

Nicole McCafferty is a Vice President in Member Supervision’s Examination Program, overseeing firms within the Retail firm grouping. In this role, she is responsible for establishing the strategic goals and objectives for the Retail examination program, working to ensure that relevant risks and industry developments are adequately considered and addressed. In her prior role at FINRA, Nicole was the Strategic Advisor for the National Cause and Financial Crimes Detection Programs where she provided critical leadership and strategic support to the Executive Vice President.

Nicole also held positions as an Examination Director, Examination Manager and Examiner during her tenure at FINRA. Her prior roles within the examination program have included both managing and conducting examinations, primarily focusing on business conduct with retail investors. Nicole began her career at the NYSE as a Sales Practice Examiner in 2005 (merging into FINRA in 2007), joined Morgan Stanley’s Internal Audit Department in 2009 and then rejoined FINRA in late 2012. She received her B.S. in Finance and Management from Manhattan College.