Cameron Funkhouser

I bring 35 years of financial industry regulatory experience. Serving as an executive leader in the largest securities industry self-regulatory organization, the Financial Industry Regulatory Authority (FINRA), I designed, implemented and managed a variety of large-scale regulatory programs overseeing registered broker/dealers and the trading activity of securities listed on the NYSE and Nasdaq. I have extensive experience in conducting investigations and compliance reviews of registered broker/dealers, investment advisors, listed companies, the trading activity of securities and corporate personnel. As a pioneer in developing big data-engineering solutions, I assisted in building many of FINRA’s core surveillance systems and technology tools to support a variety of regulatory programs. With my subject matter expertise and track record of designing highly efficient technology solutions, I can assist financial services firms meet the compliance challenges posed by industry rules and laws including mandated CAT trade reporting obligations. In addition, I can assist financial regulators improve program capabilities, financial market centers increase surveillance proficiencies and assist financial industry participants meet mandated regulatory obligations by leveraging the robust CAT data. Below are some examples of my real-world capabilities and experience : ==> Extensive experience in conducting securities fraud investigations, rule compliance reviews and handling FINRA/SEC inquiries ==>Provide guidance for companies filing NYSE/Nasdaq listing applications and responding to market center inquiries ==>Architect of numerous technology solutions to address securities industry regulatory challenges ==> Trusted advisor and strategy consultant to law firms, corporate C-suite executives and board members ==> Outstanding diplomatic-relationship and stakeholder-management skills ==> Top-rated speaker at securities industry and law enforcement events including FINRA, SEC, FBI, DOJ, SIFMA, foreign regulators and IOSCO ==> Guest lecturer at various academic institutions, including Georgetown University Graduate School of Foreign Service and Duke University Law School I retired from FINRA in May 2020 and look forward to sharing my expertise through consulting, expert witness, training, financial industry compliance assessments and internal investigations. I am also interested in executive leadership, corporate advisor and board member opportunities. I can be reached at 301.518.3244 | [email protected]