FINRA

Examination Director – Capital Markets

FINRA

full-time

Posted on:

Location Type: Hybrid

Location: New York City • California • Colorado • United States

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Salary

💰 $131,100 - $305,000 per year

Job Level

Lead

About the role

  • Directs examination activities to achieve strategic initiatives for the department and serves as a primary point of contact for internal stakeholders for examination activities
  • Manages a team of examiners and empowers them to make decisions relating to the completion of exams
  • Builds and integrates the culture of intelligence, integrity, collaboration, and initiative into team goals and decisions
  • Provides guidance to staff, management, and external parties on high-level issues

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 industry-wide events and trends affecting FINRA's exam program
Benefits
  • Health insurance
  • 401(k) matching
  • Paid time off
  • Tuition reimbursement
  • Wellness programs
  • Adoption assistance
  • Backup family care
  • Surrogacy benefits
  • Employee assistance programs
  • Generous time-off program with 15 days of paid time off, 5 personal days, and 9 sick days
  • Military leave, jury duty leave, bereavement leave, and other paid leave options
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
project managementfinancial regulatory experiencesecurities rules and regulationsFINRA risk fundamentals
Soft Skills
leadershipcollaborationdecision-makingguidanceintegrityinitiative
Certifications
MBAJDrelevant industry certification