FacultyFaculty/Author Profile

Suzanne McGovern

U.S. Securities and Exchange Commission
Assistant Director, National Broker-Dealer Echange Group (BDX), Office of Compliance Inspections and Examinations
Washington, DC, USA

Suzanne McGovern is an Assistant Director in the Office of Compliance Inspections and Examinations, Broker-Dealer Examination Program, at the Securities and Exchange Commission.  She has served in that capacity for approximately ten years and previously was a Branch Chief and a Staff Securities Examiner during her twelve year tenure at the SEC. Prior to joining the Commission, Suzanne worked for multiple Wall Street Firms, primarily in supervisory and compliance roles, but her experiences include sales, trading, back office operations and recruiting. She has passed and held several securities licenses including the Series 3, 7,8,9,63 and 65.  Suzanne is a graduate of Denison University with a BA in Economics.


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