FINRA

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

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Salary

💰 $192,800 - $379,700 per year

Job Level

Lead

About the role

  • 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
Soft skills
leadershipguidancesupportcross-functional collaborationprioritizationcommunicationteam managementorganizational skillsproblem-solvingstrategic vision
Certifications
MBAJDrelevant industry certification
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