Andrew Yi is a seasoned compliance professional with extensive experience in the financial services industry. Currently serving as a Compliance Manager at Interactive Brokers since March 2019, Andrew previously held roles as Vice President at Morgan Stanley, where responsibilities included responding to regulatory inquiries from agencies such as the SEC and FINRA, and as VP Compliance at FBR, overseeing compliance functions across various trading desks. Earlier in the career, Andrew was a Team Leader at FINRA, conducting regulatory reviews related to compliance with market rules. Andrew’s expertise encompasses trade execution analysis, compliance procedures, and regulatory oversight.
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