Timothy Wasson, Adjunct Faculty | Capital University, Columbus Ohio
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  • Timothy Wasson, M.S., B.A.

    Adjunct Faculty

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    Contact

    Business
    Bexley Campus
    1 College and Main

    859-512-7744
    twasson@capital.edu

    • Classes

       

      • MBA 613
      • Organizational Behavior

       

    • Biography

       I am a Chief Compliance Officer who maximizes firm resources by aligning people, processes and technology toward the dual objective of mitigating regulatory risk while achieving cost containment.

      My experience began on the regulatory-side of Compliance (state regulator and then NASD/FINRA), and quickly progressed through to a number of senior-level Compliance positions with different types of firms (bank broker-dealers, a large mutual fund company, a boutique investment banking firm, registered investment advisers, and an NYSE full-service firm). I have steered some firms through serious regulatory waters, and have utilized innovative risk-mitigation strategies in the process of achieving the firm's goals.

      I have arbitrated several large and complex cases for NASD/FINRA and the NYSE, and have been a speaker at industry conferences on the topics of best-in-class Compliance programs, suitability processes, and risk management.

      I have either passed and / or currently hold the following twelve FINRA / NYSE / MSRB securities licenses / registrations: 4, 7, 12, 14, 24, 27, 50, 53, 63, 65, 79 and 99.

      A passion of mine for many years has been teaching at the collegiate level. In addition to teaching at Capital, I have taught at several different colleges and universities, including courses in Economics, Finance and Business. 

      Read more at my LinkedIn profile.

    • Degrees Earned

      • BA, History, Messiah College, 1978
      • MS, Business Administration, Robert Morris College, 1985