Lecturer Bios
Kathryn Travers
Kathryn Travers is Risk Monitoring Director in the M&A Investment Banking in
FINRA’s Boston Office. Ms. Travers has more than 20 years of experience in the
investment industry with 17 of those employed by FINRA.
Her responsibilities include
managing the Risk Monitoring Analysts in her section that are responsible for
monitoring the financial and sales practice day-to-day activities of 250 member
firms.
Ms. Travers is a graduate of Stonehill College with a double major in
Economics and Political Science. She also obtained her Certified Fraud Examiner
(CFE) designation in 2016.
Brian Carter
Brian Carter is Vice President of Technology for Sigma Financial Corporation and Parkland Securities, LLC. He joined the firm in early 2021 to lead the effort to modernize and transform their technology platform. Mr. Carter brings a passion for implementing technology that helps organizations and people be more effective. How can we create solutions that allow people to shift their time from doing lower-value work to higher-value work? In the Post-COVID World with people working remotely, how do we allow them to do their work effectively while mitigating the constant cybersecurity threats posed by bad actors? These are some of the questions Mr. Carter thinks the most about.
He began his 20 plus years of experience in financial services technology as a programmer tasked with building a new commission processing system for National Planning Holdings, a broker dealer network formerly owned by Jackson National Life. From there he moved into various leadership roles, gaining experience in a wide range of technology disciplines. Mr. Carter earned an MBA from Vanderbilt University in 2014, which was a catalyst to transforming his outlook on technology to be more business focused.
Sarah S. Kwak, Esq.
Sarah S. Kwak is Associate General Counsel in FINRA’s Office of General Counsel,
specializing in sales practice regulatory policy with a particular focus on the FINRA
rules governing the membership application process, supervision, and customer
account statements.
Prior to joining FINRA, Ms. Kwak was an Assistant Vice
President at Merrill Lynch Pierce Fenner & Smith and served as a judicial law clerk
for United States Bankruptcy Court Judge Barry Russell of the Central District of
California. She holds two bachelor’s degrees from the University of California at
Irvine and a J.D. from Washburn University School of Law.
Carmi Moser
Carmi Moser is a Senior Principal Risk Specialist with the team leading technology & cybersecurity examinations and investigations, providing cybersecurity consultations and training under the Cyber & Analytics Unit at FINRA.
Prior to joining FINRA, Carmi performed twelve years of combined hands-on and management experience in the Information Technology and Cybersecurity domains working in roles responsible for Governance, Risk & Compliance, Security Operations, and IT Operations. Her broad experience includes work at Kaseya, PyeongChang Winter Olympics, Virgin Hyperloop One and the Department of Energy’s cybersecurity operations center.
She completed her Master’s in Information Technology at American InterContinental University and holds several cybersecurity certifications including CISSP, CCSP, CDPSE, and GCIH.
