Examination Director - Firm Grouping: Capital Markets

Overview

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.

Essential Job Functions:

• 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.

Other Responsibilities:

• Assist as needed, with scheduling and staffing of exams while ensuring that policies and procedures are followed during exams.

• Other duties as assigned.

Education/Experience 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

Knowledge Requirements:

• 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

Skill Requirement:

• 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

Working Conditions:

• Hybrid work environment, with defined in-person presence requirements

For work that is performed in CA, CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the salary chart below for the salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of…