Consulting Director specializing in payments modernization and orchestration for large banking institutions. Driving strategic transformations and collaborating with C - suite stakeholders.
About the role
- Leads and directs examination activities at FINRA while managing and empowering a team of examiners. Ensures strategic objectives are achieved through effective collaboration and guidance.
Responsibilities
- Leads a team of Examiners and directs examination activities to ensure strategic objectives for the department are met
- Serves as a primary point of contact for team members, as well as providing guidance to leadership and external parties on high-level matters
- Accountable for the performance management of the exam team with respect to goal management, skills development, and engagement
- Consolidates and synthesizes information gathered from shared feedback, trends, and patterns to identify and recommend opportunities for Exam program improvements
- Builds and integrates the culture of intelligence sharing, integrity, collaboration, and initiative into team goals and decisions
- Directs examination activities to achieve strategic initiatives for the department
- Manages a team of examiners and empowers them to make decisions relating to the completion of exams
- Provides strategic guidance, advice, and support to Member Supervision leadership
- Manages operational aspects of the exam including budget, performance, workflow and compliance
- Ensures that all aspects of the exams achieve goals within established timelines and budgets
- Collaborates and coordinates with Risk Monitoring counterparts to ensure strategic focuses are addressed
- Develops relationships with other Examination leaders and Risk Monitoring counterparts to provide feedback and share trends
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
- Significant experience managing projects and/or people
- Advanced knowledge of FINRA'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 FINRA's exam program
- Advanced knowledge of FINRA departments and their mandates
- Proficient in optimizing resource allocation
- Expert ability to recognize and understand the relationship and impact between regulatory areas
- Expert ability to manage time effectively and complete examination plans within the budgeted time frames
- Expert ability to effectively liaise with internal and external parties
- Expert ability to identify and prioritize risk
- Expert ability to develop, inspire, and motivate direct reports
- Expert ability in talent recognition and coaching
- Expert relationship building skills
- Expert ability to make timely decisions
Benefits
- Health insurance
- Dental insurance
- Vision insurance
- Life insurance
- Disability insurance
- 401(k) plan with company match
- Immediate participation and vesting in retirement plan
- Tuition reimbursement
- Commuter benefits
- Adoption assistance
- Backup family care
- Surrogacy benefits
- Employee assistance programs
- Wellness programs
- Generous time-off program including 15 days paid time off, 5 personal days, and 9 sick days
- Two volunteer service days
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