Zone Vice President, Clinical Excellence – Mid Atlantic
Hanger, Inc.
Vice President – Diversified Carrying and Clearing Examinations Firm Group Lead
FINRA
full-time
Posted on:
Location Type: Hybrid
Location: Washington • 🇺🇸 United States
Visit company websiteSalary
💰 $192,800 - $379,700 per year
Job Level
Senior
About the role
- Leader for Firm Grouping who will set multi-year strategic plan
- Manage priorities to Member Supervision goals and vision
- Work closely with cross-functional partners outside Member Supervision
- Integrate Examination efforts with Regulatory Operations
- Ensure connectivity and partnership with Member Supervision’s centralized and support functions
- Provide strategic leadership and oversight to Examination Program
- Ensure timeliness, effectiveness, and appropriate tailoring of examinations
- Ultimate responsibility for understanding, identifying, and addressing industry trends
- Responsible for determining firms for the annual exam plan
- Coordinate with Risk Monitoring Management to execute examination plan
- Collaborate with other Examination Vice Presidents and senior directors
- Determine examiner capacity and skill levels
- Establish strategic goals and objectives for examination program
- Partner closely with Examinations Senior Leadership for updates and metrics
- Participate in budgeting and forecasting for Firm Group
- Provide updates on key exam issues
- Ensure effective communication across Examinations, Member Supervision, and FINRA
- Manage Firm Group support for corporate, group, and department strategic goals
- Identify areas of changing risk or concern for communication to Member Supervision
Requirements
- MBA, JD, or other graduate degree and/or relevant industry certification(s) considered
- Bachelor's Degree or equivalent combination of education and experience required
- Major in Accounting, Finance, Economics, Business Administration, or related fields preferred
- Significant securities, compliance, or financial regulatory experience in Firm Group area
- Significant experience managing large teams and complex projects with competing priorities
- Expert knowledge of auditing and/or testing
- Expert knowledge of securities rules and regulations
- Expert knowledge of Firm Group business models, business lines, customer bases, products, and services
- Expert knowledge of rule changes and interpretations
- Expert knowledge of industry-wide events and trends affecting their respective Firm Group
- Expert knowledge of FINRA departments and their mandates
Benefits
- Health insurance
- Dental insurance
- Vision insurance
- Basic life insurance
- Accidental death and dismemberment insurance
- Supplemental life insurance
- Short-term disability insurance
- Long-term disability insurance
- Long-term care insurance
- Business travel accident insurance
- Legal insurance
- 401(k) plan with company match
- FINRA-funded retirement contribution
- Tuition reimbursement
- Commuter benefits
- Adoption assistance
- Backup family care
- Surrogacy benefits
- Employee assistance programs
- Wellness programs
- 15 days of paid time off
- 5 personal days
- 9 sick days
- 2 volunteer service days
- 9 paid holidays
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
auditingtestingsecurities rulesfinancial regulationsrisk managementstrategic planningbudgetingforecastingexamination program managementproject management
Soft skills
leadershipcommunicationcollaborationstrategic thinkingprioritizationproblem-solvingteam managementinterpersonal skillsorganizational skillsadaptability
Certifications
MBAJDrelevant industry certification
