Attorney in Jersey City, NJ

Public Interest

Jersey City, NJ

Attorney in Jersey City, NJ

Non-practicing Attorney

No

Organization: FINRA
Department: Member Regulation
Location: All FINRA Locations
Job Title: Examination Manager
Experience: Significant securities, compliance or financial regulatory experience; moderate experience managing projects and/or people

Job Summary:
FINRA, the Financial Industry Regulatory Authority, is seeking an experienced Examination Manager to oversee and ensure completion of risk-based examinations of FINRA member firms and registered representatives. This is a full-time position, based in all FINRA locations. The ideal candidate will have significant experience in the securities, compliance, or financial regulatory industry, as well as moderate experience in managing projects and/or people.

Essential Job Functions:

- Manage a team of 4-6 examination staff members, including performance management and ongoing training and mentorship
- Schedule and staff examinations, reviewing and approving risk and risk identification reviews as needed
- Review and approve exam-related work, reports, and letters, such as strategy, exit, exam, and disposition reports
- Empower direct reports to make decisions appropriate for their level and expertise
- Promote open dialogue and effectively communicate key issues to staff and senior management

Education/Experience Requirements:

- Bachelor's Degree 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 FINRA's risk fundamentals and securities rules and regulations
- Advanced knowledge of firm business models, customer bases, products, and services
- Advanced knowledge of rule changes and interpretations, as well as industry-wide events and trends affecting FINRA's exam program
- Advanced knowledge of FINRA departments and their mandates

Skill Requirements:

- Proficient in utilizing available resources and managing time effectively to complete examinations within budgeted time frames
- Advanced ability to recognize and understand the relationship and impact between regulatory areas
- Advanced ability to effectively liaise with internal and external parties
- Advanced ability to identify and prioritize risk and inspire and motivate direct reports
- Advanced relationship building skills and ability to make timely decisions

Salary Information:
For work performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State, and NY State, the salary range for the corresponding location is provided below. Actual compensation is based on various factors, such as the candidate's skill set, level of experience, education, and internal peer compensation comparisons.

- CA: Minimum Salary $128,000, Maximum Salary $242,600
- CO/HI/MN/VT*: Minimum Salary $111,400, Maximum Salary $202,100
- IL*: Minimum Salary $122,800, Maximum Salary $222,400
- Jersey City, NJ/NYC, NY: Minimum Salary $133,700, Maximum Salary $242,600
- MA/WA: Minimum Salary $111,400, Maximum Salary $232,500
- MD/Washington, DC: Minimum Salary $128,000, Maximum Salary $232,500
- NJ State: Minimum Salary $122,800, Maximum Salary $242,600
- NY State: Minimum Salary $111,400, Maximum Salary $242,600

*Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers within the range provided, with potential for growth and advancement within **MEMBERS ONLY**SIGN UP NOW***.

In summary, FINRA is seeking an experienced Examination Manager to oversee and ensure completion of risk-based examinations of FINRA member firms and registered representatives. This is a full-time position, and the ideal candidate will have significant experience in the securities, compliance, or financial regulatory industry, as well as moderate experience in managing projects and/or people. The salary range for this position varies based on location and other factors, and candidates can expect offers within the range provided with potential for growth within the organization.