Examination Director – Firm Grouping: Retail, Sub-Group: FinTech

* Assist as needed, with scheduling and staffing of exams while ensuring that policies and procedures are followed during exams.
* Other duties as assigned.
* 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
** About FINRA
** FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates.

FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers.

FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses.

Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair  today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets. FINRA operates from Washington, DC, and New York, NY, with other offices around the country.(Use the "Apply for this Job" box below)..
#J-18808-Ljbffr