Job Title: Examination Director
Job Responsibilities:
- Manage a team of 4-6 Examination Managers and Senior Principal Examiners, offering opportunities to coach, develop, and mentor the team.
- Contribute input and intelligence for annual Examination Planning efforts to ensure effective oversight.
- Communicate guidance, policies, and key initiatives effectively to both staff and management.
- Develop talent by setting clear expectations and holding staff accountable for their performance.
- Provide guidance to external parties on high-level regulatory issues.
- Review and approve all exam-related reports and letters for medium-high and high-risk firms.
- Empower direct reports to make risk-based decisions on examinations.
- Identify exam delay drivers promptly and collaborate to ensure timely resolution.
- Support the identification and resolution of novel and complex exam issues.
- Collaborate and coordinate regularly with internal stakeholders within Member Supervision and across other departments such as Enforcement.
- Ensure the program serves the organization's mission efficiently and effectively, actively identifying opportunities and gaps. Participate in projects/initiatives that further these efforts.
- Present at conferences and participate in outreach to member firms and investors.
Education and Experience Requirements:
- Bachelor's Degree or an equivalent combination of education and experience is required, with a preference for majors in Accounting, Finance, Economics, Business Administration, or related fields.
- An MBA, JD, other graduate degree, and/or relevant industry certification(s) are preferred.
- Significant securities, compliance, or financial regulatory experience is necessary.
- Significant experience managing projects and/or people is required.
Salary Information:
- For work performed in CA, the salary range is $150,600 to $305,000.
- In CO, HI, MN, and VT, the salary range is $131,100 to $254,000.
- For IL, the salary range is $144,000 to $279,500.
- In Jersey City, NJ, and New York City, NY, the salary range is $157,300 to $305,000.
- For MA and WA, the salary range is $131,100 to $292,300.
- In MD and Washington, DC, the salary range is $150,600 to $292,300.
- For NJ State, the salary range is $144,000 to $305,000.
- In NY State, the salary range is $131,100 to $305,000.
- Candidates can expect salary offers that range from the minimum to the mid-point of the salary range.
Additional Information:
- Employees may be eligible for a discretionary bonus in addition to base pay.
- Non-exempt employees are eligible for overtime pay in accordance with federal, state, or local law.
- Comprehensive health, dental, and vision insurance is provided, along with additional insurance options.
- Participation in a 401(k) plan with company match and eligibility for an additional organization-funded retirement contribution is available.
- Tuition reimbursement, commuter benefits, and other wellness-supporting benefits are offered.
- The organization encourages health and wellness through a generous time-off program, including paid time off, personal days, sick days, and volunteer service days, along with other forms of paid leave.
- Employees must adhere to the organization's Code of Conduct, which includes specific investment and securities account restrictions, financial disclosures, and maintaining securities accounts at approved firms.
The above information outlines the general nature and level of work for the Examination Director position. It is not an exhaustive list of all duties, responsibilities, and qualifications required.
