Vice President, Capital Markets, Fixed Income, Compliance Testing
FINRA
full-time
Posted on:
Location Type: Hybrid
Location: Washington • Colorado, District of Columbia, Illinois, Maryland, Massachusetts, New Jersey, New York, Pennsylvania, Texas, Virginia, Washington • 🇺🇸 United States
Leads the overall operations and execution of the Capital Markets, Fixed Income Specialist and Compliance teams consisting of over 120 examiners and managers
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
Monitor exam plan progress
Develop and oversee the performance of the Compliance Team
Coordinate execution of compliance testing exams
Provide guidance, leadership, and support to Examination teams
Ensure the Capital Markets, Compliance and Fixed Income Specialist teams actively coordinate with Risk Monitoring and other Member Supervision Programs
Manage Exam Program budgeting and forecasting
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
Minimum ten years' experience in SEC or FINRA Exam Programs
Significant experience managing projects and people
Advanced knowledge of securities rules and regulations
Expert knowledge of industry business models, business lines, customer bases, products and services
Advanced knowledge of rule changes and interpretations
Expert knowledge of industry wide events and trends affecting FINRA's exam program
Expert knowledge of FINRA departments and their mandates
Benefits
Health insurance
Dental insurance
Vision insurance
Life insurance
Accidental death and dismemberment insurance
Long-term disability insurance
Short-term disability insurance
401(k) plan with company match
Tuition reimbursement
Commuter benefits
Adoption assistance
Backup family care
Surrogacy benefits
Employee assistance programs
Wellness programs
Paid time off (15 days of paid leave, 5 personal days, 9 sick days)
Two volunteer service days
Paid holidays (9)
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
project managementcompliance testingbudgetingforecastingsecurities rulesfinancial regulationsexam program managementperformance oversightstrategic planningregulatory operations