Robert Chao

Robert Chao is Senior Director, FINRA Member Supervision. He is responsible for the risk assessment, planning and execution of examinations based on risks identified for firms in the Retail-Fintech and Retail-Carrying and Clearing groups. Mr. Chao was a member on FINRA’s Correspondent Clearing committee and eFocus Redesign committee. He is currently a member of the Behavioral Science Working Group within FINRA. Mr. Chao was formerly a Surveillance Director and an Examination Director and has been at FINRA since 2009. Prior to joining FINRA, Mr. Chao served as a Director responsible for financial and regulatory reporting at UBS Financial Services, Inc., where he worked from 2007 to 2009. Prior to joining UBS, he was a Vice President in the Finance group at J.P. Morgan Securities Inc. Mr. Chao received his Bachelor of Science in Finance at New York University and was previously a registered principal holding series 7, 9/10, and 27 licenses.