Attorney in Dallas, TX

Public Interest

Dallas, TX

Attorney in Dallas, TX

Non-practicing Attorney

No

Job Title: Examination Director

Job Responsibilities:
- Manage a team of 4-6 Examination Managers and Senior Principal Examiners.
- Contribute insights and intelligence to inform annual Examination Planning efforts.
- Effectively communicate guidance, policies, and key initiatives to staff and management.
- Develop talent and set clear expectations, 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 (., strategy, exit, exam, disposition, etc.) for medium-high and high-risk firms.
- Empower direct reports to make risk-based decisions on examinations.
- Identify exam delay drivers promptly and work collaboratively to ensure prompt resolution.
- Support identification of novel and complex exam issues and facilitate final resolution.
- Collaborate and regularly coordinate with internal stakeholders within Member Supervision and across other departments such as Enforcement.
- Ensure the Program serves the organization's mission efficiently and effectively and actively identify 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 Information:
- Bachelor's Degree or an equivalent combination of education and experience is required.
- Preferred majors include 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 required.
- Significant experience managing projects and/or people is essential.

Knowledge Requirements:
- Advanced knowledge of the organization'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 the organization's exam program.
- Advanced knowledge of the organization's departments and their mandates.

Skill Requirements:
- Proficient in utilizing available resources.
- Expert ability to recognize and understand the relationship and impact between regulatory areas.
- Expert ability to manage time effectively and complete examination plans within budgeted time frames.
- Expert ability to effectively liaise with internal and external parties.
- Expert ability to identify and prioritize risk.
- Expert ability to inspire and motivate direct reports.
- Expert relationship-building skills.
- Expert ability to make timely decisions.

Salary Information:
- For work performed in various states, salary ranges are as follows:
- CA: Minimum $150,600, Maximum $305,000
- CO/HI/MN/VT: Minimum $131,100, Maximum $254,000
- IL: Minimum $144,000, Maximum $279,500
- Jersey City, NJ/NYC, NY: Minimum $157,300, Maximum $305,000
- MA/WA: Minimum $131,100, Maximum $292,300
- MD/Washington, DC: Minimum $150,600, Maximum $292,300
- NJ State: Minimum $144,000, Maximum $305,000
- NY State: Minimum $131,100, Maximum $305,000
- Actual compensation is based on various factors, including 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.

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 benefits include health, dental, and vision insurance, retirement plans, tuition reimbursement, and wellness programs.
- The organization provides a generous time-off program, including paid time off, personal days, sick days, and volunteer service days.
- The organization's Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures due to its role as a securities regulator. Employees must comply with investment restrictions and maintain certain securities accounts with specific firms.