Job Description

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

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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. Sets a multiyear strategic plan, manages priorities aligned with Member Supervision goals, and collaborates with crossfunctional partners to integrate Examination efforts with Regulatory Operations.
• Oversees all fixedincome, capitalmarkets, and compliance examinations in collaboration with other exam teams, monitoring exam plan progress.
• Engages regularly with Fixed Income Regulation within the Office of the Chief Legal Officer, the SEC, MSRB, and industry associations.
• Develops and oversees the performance of the Compliance Team, responsible for execution of compliance testing exams, including but not limited to targeted netcapital reviews, fixedincome reviews of low complexity, First Firm Exam reviews, and DOEA Options (standalone exams).
• Develops and oversees the Exam Intelligence Response team, coordinating the execution of all thematic exams and other exam responses to address regulatory intelligence.
• Provides strategic leadership and oversight to the Examination Program for all thematic examinations, ensuring timeliness, effectiveness, and appropriate tailoring to address relevant risks.
• In collaboration with Risk Monitoring Senior Management and Strategic Intelligence & Analytics Senior Management, determines firm selection for thematic exams and scopes.
• Provides guidance, leadership, and support to Examination teams to address complex and critical exam issues.
• Ensures effective coordination and collaboration across Risk Monitoring, Member Supervision, and other FINRA programs.
• Acts as the Examination Programs single point of contact for new regulatory intelligence, assessing appropriate responses and actions.
• Collects and assesses regulatory intelligence from completed firm examinations, sharing findings with other FINRA departments.
• Coordinates strategic responses and impact assessments when significant market or industry events occur.
• Guides and leads the team to ensure active and effective communication across Examinations, Member Supervision, and FINRA.
• Manages programmatic enhancements for the Examination Program in close consultation with firm grouping VPs and other Member Supervision programs.
• Collaborates with other Examination VPs and Senior Directors to ensure consistency and share trends and patterns.
• Manages Exam Program budgeting, forecasting, and headcount needs, setting strategy and vision for headcount evaluation.
• Oversees development and implementation of policies, procedures, and technology necessary for all Firm Groupings.
• Maintains strong working knowledge of industry developments and evolves the examination program accordingly.
• Provides Senior Management with key metrics, potential exam findings, and trends, partnering with VP of Firm Groupings for briefing strategy.
• Identifies operational needs and vision for a more efficient Examination program, partnering with Operations and Data, Analytics, and Technology Groups.
• Participates as a senior leader in special projects, technology initiatives, and training.
• Models inspirational leadership and creates an environment of strong employee engagement.
• Identifies, develops, and empowers talent at all levels.
• Ensures constructive, balanced, and professional dialogue with member firms and industry representatives, representing FINRA at engagements and conferences.
• Cultivates strong working relations with leaders across Member Supervision and regulatory agencies.

Education / Experience Requirements

• Bachelors Degree or equivalent combination of education and experience required.
• Major in Accounting, Finance, Economics, Business Administration or related fields preferred.
• MBA, JD, or other graduate degree and/or relevant industry certifications preferred.
• Significant securities, compliance, or financial regulatory experience.
• Minimum ten years experience in SEC or FINRA Exam Programs.
• Significant experience managing projects and people.

Knowledge Requirements

• Advanced knowledge of securities rules and regulations.
• Expert knowledge of industry business models, business lines, customer bases, products, and services.
• Advanced knowledge of rule changes and interpretations.
• Expert knowledge of industrywide events and trends affecting FINRAs exam program.
• Expert knowledge of FINRA departments and their mandates.

Skills Requirements

• Expert ability to recognize and understand the relationship and impact between regulatory areas.
• Expert ability to build relationships and liaise with internal and external parties.
• Expert ability to identify and prioritize risk, making timely riskbased decisions.
• Expert management and leadership skills.
• Excellent written and verbal communication skills, including presentation skills.
• Expert ability to make timely, informed riskbased decisions.

Working Conditions

• General hybrid office environment.
• Highly dynamic, fastpaced environment with multiple highvisibility priorities.
• Travel and extended hours as needed.

Salary and Benefits

For work performed in CA, CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY, and NJ, salary ranges are:

• CA: $192,800 $379,700
• CO/FL/TX: $192,800 $379,700
• IL/PA: $192,800 $379,700
• MA/MD/VA/Washington, DC: $192,800 $379,700
• NY/NJ: $192,800 $379,700

FINRA offers comprehensive health, dental and vision insurance, a 401(k) plan with company match, tuition reimbursement, commuter benefits, and additional wellness and familycare benefits.

Application Information

To be considered for this position, please submit an application.

Applications are accepted on an ongoing basis.

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status, or any other classification protected by federal, state, or local laws.

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