Examination Director
| Company | Finra |
|---|---|
| Location | Boston, MA, USA, Washington, DC, USA, San Francisco, CA, USA, Los Angeles, CA, USA, North Bethesda, MD, USA, Jericho, NY, USA, Dallas, TX, USA, Philadelphia, PA, USA, Boca Raton, FL, USA, Iselin, Woodbridge Township, NJ, USA, Chicago, IL, USA, New York, NY, USA, Denver, CO, USA |
| Salary | $131100 – $305000 |
| Type | Full-Time |
| Degrees | Bachelor’s |
| Experience Level | Senior, Expert or higher |
Requirements
- Bachelor’s Degree or an equivalent combination of education and experience required. Major in Accounting, Finance, Economics, Business Administration or related fields preferred.
- MBA, JD, other graduate degree and/or relevant industry certification(s) preferred
- Significant securities, compliance or financial regulatory experience
- Significant experience managing projects and/or people
- Advanced knowledge of FINRA’s risk fundamentals
- Advanced knowledge of securities rules and regulations
- Advanced knowledge of firm business models, business lines, customer bases, products and services
- Advanced knowledge of rule changes and interpretations
- Advanced knowledge of industry wide events and trends affecting FINRA’s exam program
- Advanced knowledge of FINRA departments and their mandates
- Proficient in utilizing available resources
- Expert ability to recognize and understand the relationship and impact between regulatory areas
- Expert ability to manage time effectively and complete examination plans within the budgeted time frames
- Expert ability to effectively liaise with internal and external parties
- Expert ability to identify and prioritize risk
- Expert ability to inspire and motivate direct reports
- Expert relationship building skills
- Expert ability to make timely decisions
Responsibilities
- Manages 4-6 Examination Managers and Senior Principal Examiners
- Shares input and intelligence to inform annual Examination Planning efforts
- Effectively communicates guidance, policies, and key initiatives to staff and management
- Develops talent and sets clear expectations, holding staff accountable for their performance
- Provides guidance to external parties on high-level regulatory issues
- Reviews and approves all exam related reports and letters (i.e. strategy, exit, exam, disposition, etc.) for medium-high and high risk firms
- Empowers direct reports to make risk-based decisions on examinations
- Timely identifies exam delay drivers and works collaboratively to ensure prompt resolution
- Supports identification of novel and complex exam issues and facilitates final resolution of such issues
- Collaborates and regularly coordinates with internal stakeholders within Member Supervision and across other departments such as Enforcement
- Ensures that the Program serves FINRA’s mission in an efficient and effective manner and actively identifies opportunities and gaps. Participates in projects/initiatives that further these efforts
- Presents at conferences and participates in outreach to member firms and investors
Preferred Qualifications
- MBA, JD, other graduate degree and/or relevant industry certification(s) preferred