Vice President, Capital Markets, Fixed Income, and Compliance Testing

Capital Markets Examination Program Leader

Strategic leader responsible for the oversight of the Capital Markets, Fixed Income Specialist and Compliance teams within FINRA's examination program, coordinating all program use of regulatory intelligence, and managing programmatic enhancements and projects.

Essential Job Functions :

• Leads the overall operations and execution of the Capital Markets, Fixed Income Specialist and Compliance teams consisting of over 120 examiners and managers. Set multi-year strategic plan, manage priorities to Member Supervision goals and vision, work closely with cross-functional partners outside Member Supervision, integrate Examination efforts with Regulatory Operations, and ensure connectivity and partnership with Member Supervision's centralized and support functions, as well as the other Member Supervision programs. Oversee all fixed income, capital markets, and compliance examinations in collaboration with other exam teams for coordinated matters, and monitor exam plan progress.
• Engages regularly with Fixed Income Regulation within the Office of the Chief Legal Officer, the SEC and the MSRB and Industry Associations.
• Develop and oversee the performance of the Compliance Team, which will be responsible for execution of compliance testing exams, which will include but not limited to targeted net capital reviews, fixed income reviews of low complexity, First Firm Exam reviews and DOEA Options (standalone exams).
• Develop and oversee the performance of the Exam Intelligence Response team, which will coordinate the execution of all thematic exams and other exam responses to quickly address regulatory intelligence obtained from within the examination program and from other areas of Member Supervision pertaining to emerging risk areas.
• Provides strategic leadership and oversight to the Examination Program for all thematic examinations including ensuring timeliness, effectiveness, and appropriate tailoring of the examinations to address relevant risks associated with the business activities and size of the firms being examined. Ultimate responsibility for understanding, identifying, and addressing industry trends and developments for the firms examined.
• In collaboration with Risk Monitoring Senior Management and Strategic Intelligence & Analytics Senior Management, responsible for determining which firms should be subject to thematic exams, including the exams' scope.
• Provide guidance, leadership, and support to Examination teams to help address complex and critical exam issues.
• Ensures the Capital Markets, Compliance and Fixed Income Specialist teams and Exam Intelligence Response team actively and effectively coordinates and collaborates with Risk Monitoring and other Member Supervision Programs, and across FINRA.
• Act as the Examination Program's single point of contact to receive new regulatory intelligence developed within Member Supervision or across FINRA, then assess appropriate response and action across the Examination program.
• Collect and assess regulatory intelligence discovered through open and completed firm examinations yielding novel or significant exceptions and emerging themes, including sharing the same with other FINRA departments and teams.
• Coordinate Examination Program's strategic response and conduct impact assessment, when significant market or industry events occur.
• Guide and lead team to ensure active and effective communication across Examinations, Member Supervision, and FINRA. Manage Capital Markets, Compliance and Fixed Income Specialist team support and implementation of corporate, group and department strategic goals, vision, and initiatives.
• Coordinate and implement programmatic enhancements for the Examination Program in close consultation with firm grouping Vice Presidents, the Strategic Advisor(s), and other Member Supervision programs.
• Collaborates and regularly coordinates with other Examination Vice Presidents and Senior Directors to ensure consistency in approach, provide feedback, share trends and patterns, and identify opportunities for program improvements.
• Manage Exam Program budgeting and forecasting including setting strategy and vision for headcount evaluation, setting headcount projections and manage all headcount needs for the Exam Program.
• Oversee the development and implementation of policies, procedures, and technology necessary to address Examination requirements for all Firm Groupings.
• Maintains strong working knowledge of developments in the industry and evolves the examination program to address such changes.
• Provides Member Supervision Senior Management with key metrics and potential exam findings and trends. Manages prioritization and delivery of updates on key exam issues and partners with other Firm Grouping Vice Presidents to set briefing strategy and build process for sharing firm and industry information. Ensure prompt delivery of the above, in connection with Member Supervision and Management Committee interactions and meetings with firms.
• Continue to evolve the Examinations program; identify operational needs and vision for a more efficient and effective Examinations program as well as closely partnering with Member Supervision's Operations and Data, Analytics, and Technology Groups to ensure the technology and data roadmaps enable the strategic growth and operational capabilities needed.
• Participate as a senior and strategic leader in various special projects, technology initiatives, and training.
• Maintains strong working knowledge of developments in the industry and helps evolve the examination program to address such changes.
• Role models inspirational and supportive leadership and create an environment of strong employee engagement.
• Identify, develop, and empower talent at all levels.
• Ensure that the interaction with member firms results in constructive, balanced, and professional dialogue between FINRA, Member Supervision and industry representatives. Represent FINRA and Member Supervision during various speaking engagements, meetings, and conferences with industry representatives and the investing public.
• Cultivate strong working relations with leaders across Member Supervision and throughout FINRA, the SEC, states, other regulatory agencies, and the industry.

Education / Experience Requirements :

Knowledge Requirements :

Skills Requirements :

Working Conditions :

For work that is performed in CA, CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the 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 experience, education, and internal peer compensation comparisons.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

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.