Financial Industry Regulatory Authority, Inc. Examination Manager - Member Regulation, Sales Practice - San Francisco, CA in San Francisco, California
Title: Examination Manager - Member Regulation, Sales Practice - San Francisco, CA Location: null Other Locations: null
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The Financial Industry Regulatory Authority (FINRA) is seeking a well qualified individual for our Examination Manager opening in San Francisco, CA. To be considered for this position, please submit your resume through our career site at www.finra.org/careers – no phone calls, please.
The Examination Manager develops and supervises District Office regulatory programs related to routine and special examinations and investigations, which includes, reviews related to the various risks associated with firm business activities as well as reviews related to the activities of persons associated with FINRA member firms. This is a senior-level professional position supervising examination and support staff of all levels, defining their assigned roles, increasing their skills, and providing the staff with general guidance.
Essential Job Functions:
Actively supervises examination staff in the execution of the District Office’s risk-based examination program of member firms’ financial, sales, trading, underwriting, supervisory and organizational practices and systems to determine compliance with federal and FINRA rules and regulations. This includes assignment and projection of examinations, including completions; approval of examination strategies; monitoring the start, progress and completion of examinations; review of the execution of the examination; review of the necessary discovery and risk reviews; review of the examination report; and recommending appropriate disciplinary action resulting from the examination findings. Participates in the field work on examinations as appropriate.
Actively supervises examination staff in the execution of the investigation of customer complaints, regulatory tips, member firm terminations of associated persons’ employment for regulatory cause, and activities of associated persons to determine compliance with federal and FINRA rules and regulations. This includes assignment and projection of investigations, including completions; approval of the scope of investigations; monitoring the progress of investigations; review of the execution of the investigation; review of the investigation reports, documents and schedules; and determining appropriate disciplinary action resulting from the investigation findings.
Supervises examination staff and/or participates in formal and informal interviews of member firms’ personnel and member firms’ customers, as well as meetings with other FINRA staff and staff of other regulatory agencies, to gather data pertinent to examinations, investigations and reviews. Testifies at and participates in hearings. Prepares or supervises the preparation of certain hearing exhibits and materials or examination deposition documents. Researches rules, regulations, guidelines, records, and databases to identify relevant data for an examination or investigation.
Monitors and analyzes staff productivity to ensure achievement of District Office and national goals. Promote open dialogue with staff about the programs through the utilization of management reports as well as hold staff accountable for meeting the year’s target for each program with high quality, including timely resolution of tasks, examinations and objectives.
Effectively and timely communicates key issues to the District Office staff and to Member Regulation’s senior management. Actively communicates, supports and implements corporate, division and department decisions. Identifies and raises to senior management notable trends, risks and/or issues in industry practices, products and procedures.
Recruits, develops and retains staff.
Supervises the development and mentoring of examination and support staff at varying levels of expertise; prepares, executes and monitors staff training and development plans; assesses performance of staff; prepares and delivers performance evaluations; and participates in recruiting, interviewing, retaining and recommending pay actions for staff.
Helps to establish and maintain desired work environment and culture. Facilitates regular and ongoing discussions with individuals to ensure understanding of how individual achievements, behaviors and actions contribute to Department goals. Fosters an environment where open dialogue and feedback is sought and valued.
Participates in the development and execution of the District Office compliance programs. Serves as a presenter or panelist for member conferences and training. Attends conferences related to securities industry rules and regulations.
Coordinates and communicates effectively with FINRA personnel and member firms. Provides member firms, public investors and others with timely, accurate responses to inquiries.
Manages multiple, complex projects at one time.
Ensures regulatory programs serve departmental goals and FINRA’s mission in an efficient and effective manner.
Demonstrates strong critical thinking, interviewing, research and quantitative skills.
Bachelor’s degree is required. Major in Finance, Accounting, Business Administration, Cybersecurity/Computer Forensics, Data Analytics or related field preferred. Advanced knowledge of securities industry rules, regulations and guidelines and significant and equivalent experience in a directly related securities industry position may substitute for bachelor’s degree. Advanced degree preferred.
Minimum of six years of regulatory experience preferred.
Excellent oral and written communications and presentation skills required. Possess excellent time management skills. Exemplify the FINRA Leadership Characteristics and serve as a role model for staff in the department. Applicants without FINRA Member Regulation experience may be asked for writing samples.
Work is normally performed in an office environment at FINRA, member firm premises or at various locations.
Overnight travel is required.
Extended hours are frequently required.
Work expectations include timely and high quality productivity.
The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required. Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly. FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations. In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA. Important Information FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions , and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment. As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism. Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records. About FINRA FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers. FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage. In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets. FINRA operates from Washington, DC, and New York, NY, with other offices around the country. Find out more about us and how we work—and view our current openings—at www.finra.org/careers. Search Firm Representatives Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA. 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