Examination Director
FINRA
full-time
Posted on:
Location Type: Hybrid
Location: San Francisco • California • Colorado • United States
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Salary
💰 $150,600 - $305,000 per year
Job Level
About the role
- Leads a team of Examiners and directs examination activities to ensure strategic objectives for the department are met
- Serves as a primary point of contact for team members, as well as providing guidance to leadership and external parties on high-level matters
- Accountable for the performance management of the exam team with respect to goal management, skills development, and engagement
- Consolidates and synthesizes information gathered from shared feedback, trends, and patterns to identify and recommend opportunities for Exam program improvements
- Builds and integrates the culture of intelligence sharing, integrity, collaboration, and initiative into team goals and decisions
- Directs examination activities to achieve strategic initiatives for the department
- Manages a team of examiners and empowers them to make decisions relating to the completion of exams
- Provides strategic guidance, advice, and support to Member Supervision leadership
- Manages operational aspects of the exam including budget, performance, workflow and compliance
- Ensures that all aspects of the exams achieve goals within established timelines and budgets
- Collaborates and coordinates with Risk Monitoring counterparts to ensure strategic focuses are addressed
- Develops relationships with other Examination leaders and Risk Monitoring counterparts to provide feedback and share trends
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 optimizing resource allocation
- 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 develop, inspire, and motivate direct reports
- Expert ability in talent recognition and coaching
- Expert relationship building skills
- Expert ability to make timely decisions
Benefits
- Health insurance
- Dental insurance
- Vision insurance
- Life insurance
- Disability insurance
- 401(k) plan with company match
- Immediate participation and vesting in retirement plan
- Tuition reimbursement
- Commuter benefits
- Adoption assistance
- Backup family care
- Surrogacy benefits
- Employee assistance programs
- Wellness programs
- Generous time-off program including 15 days paid time off, 5 personal days, and 9 sick days
- Two volunteer service days
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
project managementrisk managementcompliancesecurities regulationsfinancial regulatory experienceresource allocationbudget managementexamination planningFINRA risk fundamentalsindustry trends
Soft skills
leadershipteam managementcommunicationrelationship buildingdecision makingcoachingtime managementstrategic guidancecollaborationinitiative
Certifications
MBAJDrelevant industry certification