Job Details

Examination Manager, Financial Operations

Company name

FINRA.

Organization Type

Public Interest

Job Type

Non-practicing Attorney

Date Last Verified

Aug 02, 2020

Valid Through

Nov 15, 2020

Posted on

Jul 31, 2020

Location

New York City, NY, United States

Employment Type

Full-time

Industry

Legal
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Profile

Examination Manager, Financial Operations
Duties: Manages of 4-6 Examination Analysts. Manages direct reports performance on an annual basis. Schedules and staffs exams. Reviews and approves risk reviews. Reviews and approves all exam related reports and letters (i.e. strategy, exit, exam, disposition, etc.) for low and medium-low firms. Empower direct reports to make decisions relating to the completion of reviews appropriate for their level and expertise. Trains and mentors exam staff and direct reports. Promotes open dialogue and communicates key issues to staff and senior management.

Qualification and 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. Moderate experience managing projects and/or people. Knowledge Requirements: Advanced knowledge of 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 exam program. Advanced knowledge of departments and their mandates.

Additional info

Ref: R-001693

Company info

Hiring Coordinator
FINRA.
One Liberty Plaza
New York City, NY 10006

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