Senior Director, Examinations - All FINRA Locations

To lead and implement the strategic direction of the examination program for a particular firm grouping

Essential Job Functions:


* Develops and implement strategic plans and initiatives for their firm group


* Collaborates and regularly coordinates with Risk Monitoring counterparts to provide feedback, share trends and suggest improvements


* Adapts to the changing regulatory and/or business environment of their firm group


* Provides strategic and tactical advice to achieve firm group goals


* Represents FINRA and Member Supervision in interactions with internal and external constituencies


* Manages Examination Directors within their firm group


* Participate in industry conferences and meetings in support of FINRA outreach initiatives


* Participate in special projects, surveys, committee assignments and technology initiatives impacting Examinations


* Provides the Deputy of Examinations with updates, key issues, and briefings on current examination information.


* Ensure that the Examination team is recruiting, developing, and retaining staff consistent with Member Supervision business needs. 

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:


* Functional knowledge of FINRA's nine risk fundamentals and how they relate to their respective firm group


* Advanced knowledge of securities rules and regulations and how they relate to their respective firm group


* Advanced knowledge of firm group business models, business lines, customer bases, products and services


* Advanced knowledge of rule changes and interpretations and how they relate to their respective firm group


* Advanced knowledge of industry wide events and trends affecting their respective firm group


* Expert knowledge of FINRA departments and their mandates

Skill Requirements:


* Expert ability to recognize and understand the relationship and impact between regulatory areas


* Expert ability to effectively liaise with internal and external parties


* Expert ability to identify and prioritize risk


* Expert interpersonal and leadership skills


* Expert ability to inspire and motivate direct reports


* Expert relationship building skills


* Expert ability to make timely decisions

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the salary range for the corresponding location.

In addition to location, actual compensation is based on various f...