Examination Director - Firm Grouping: Capital Markets

FINRA • New York, NY

1d • Hybrid

About The Position

The Capital Markets Firm Grouping conducts exams of FINRA member firms that primarily engage in investment banking and the origination and financing of capital structures and markets. Characteristics of these firms include structuring and/or advising on mergers and acquisitions and raising of capital through underwritings; advisory services; sales of private placement offerings and/or private equity funds to institutions; origination of products distributed by the firm or other broker dealers and wholesaler serving as intermediary between and issuer and a retail broker dealer. The Examination Director will lead 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.

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

Responsibilities

• 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.
• Provide strategic guidance, advice and support to Member Supervision leadership.
• Provides guidance to staff, management and external parties on high-level issues.
• Manages operational aspects of the exam including, but not limited to, budget, performance, workflow and compliance.
• Ensures that all aspects of the exams achieve goals within established timelines and budgets, as well as broader organizational strategic goals.
• Collaborates and regularly coordinates with Risk Monitoring counterparts to ensure strategic focuses are addressed accordingly.
• Develops relationships with other Examination leaders and Risk Monitoring counterparts to provide feedback, share trends and patterns, and identify opportunities for program improvements.
• Accountable for effectively managing performance and prioritizing meaningful development conversations.
• Ensures that the Program serves FINRA’s mission in an efficient and effective manner.
• Presents at conferences and participates in outreach to member firms and investors.
• Demonstration of FINRA’s values.
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.
• Assist as needed, with scheduling and staffing of exams while ensuring that policies and procedures are followed during exams.
• Other duties as assigned.

Benefits

• Employees may be eligible for a discretionary bonus in addition to base pay.
• Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law.
• As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance.
• Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal.
• FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
• Time Off and Paid Leave FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year).
• Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule).
• Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment).
• Full-time employees receive nine paid holidays.

What This Job Offers

• Job Type: Full-time
• Career Level: Manager
• Number of Employees: 1,001-5,000 employees