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

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. Set multi-year strategic plan manage priorities to Member Supervision goals and vision work closely with cross-functional partners outside Member Supervision integrate Examination efforts with Regulatory Operations and ensure connectivity and partnership with Member Supervisions centralized and support functions as well as the other Member Supervision programs. Oversee all fixed income capital markets and compliance examinations in collaboration with other exam teams for coordinated matters and monitor exam plan progress.
• Engages regularly with Fixed Income Regulation within the Office of the Chief Legal Officer the SEC and the MSRB and Industry Associations.
• Develop and oversee the performance of the Compliance Team which will be responsible for execution of compliance testing exams which will include but not limited to targeted net capital reviews fixed income reviews of low complexity First Firm Exam reviews and DOEA Options (standalone exams).
• Develop and oversee the performance of the Exam Intelligence Response team which will coordinate the execution of all thematic exams and other exam responses to quickly address regulatory intelligence obtained from within the examination program and from other areas of Member Supervision pertaining to emerging risk areas.
• Provides strategic leadership and oversight to the Examination Program for all thematic examinations including ensuring timeliness effectiveness and appropriate tailoring of the examinations to address relevant risks associated with the business activities and size of the firms being examined. Ultimate responsibility for understanding identifying and addressing industry trends and developments for the firms examined.
• In collaboration with Risk Monitoring Senior Management and Strategic Intelligence & Analytics Senior Management responsible for determining which firms should be subject to thematic exams including the exams scope.
• Provide guidance leadership and support to Examination teams to help address complex and critical exam issues.
• Ensures the Capital Markets Compliance and Fixed Income Specialist teams and Exam Intelligence Response team actively and effectively coordinates and collaborates with Risk Monitoring and other Member Supervision Programs and across FINRA.
• Act as the Examination Programs single point of contact to receive new regulatory intelligence developed within Member Supervision or across FINRA then assess appropriate response and action across the Examination program.
• Collect and assess regulatory intelligence discovered through open and completed firm examinations yielding novel or significant exceptions and emerging themes including sharing the same with other FINRA departments and teams.
• Coordinate Examination Programs strategic response and conduct impact assessment when significant market or industry events occur.
• Guide and lead team to ensure active and effective communication across Examinations Member Supervision and FINRA. Manage Capital Markets Compliance and Fixed Income Specialist team support and implementation of corporate group and department strategic goals vision and initiatives.
• Coordinate and implement programmatic enhancements for the Examination Program in close consultation with firm grouping Vice Presidents the Strategic Advisor(s) and other Member Supervision programs.
• Collaborates and regularly coordinates with other Examination Vice Presidents and Senior Directors to ensure consistency in approach provide feedback share trends and patterns and identify opportunities for program improvements.
• Manage Exam Program budgeting and forecasting including setting strategy and vision for headcount evaluation setting headcount projections and manage all headcount needs for the Exam Program.
• Oversee the development and implementation of policies procedures and technology necessary to address Examination requirements for all Firm Groupings.
• Maintains strong working knowledge of developments in the industry and evolves the examination program to address such changes.
• Provides Member Supervision Senior Management with key metrics and potential exam findings and trends. Manages prioritization and delivery of updates on key exam issues and partners with other Firm Grouping Vice Presidents to set briefing strategy and build process for sharing firm and industry information. Ensure prompt delivery of the above in connection with Member Supervision and Management Committee interactions and meetings with firms.
• Continue to evolve the Examinations program; identify operational needs and vision for a more efficient and effective Examinations program as well as closely partnering with Member Supervisions Operations and Data Analytics and Technology Groups to ensure the technology and data roadmaps enable the strategic growth and operational capabilities needed.
• Participate as a senior and strategic leader in various special projects technology initiatives and training.
• Maintains strong working knowledge of developments in the industry and helps evolve the examination program to address such changes.
• Role models inspirational and supportive leadership and create an environment of strong employee engagement.
• Identify develop and empower talent at all levels.
• Ensure that the interaction with member firms results in constructive balanced and professional dialogue between FINRA Member Supervision and industry representatives. Represent FINRA and Member Supervision during various speaking engagements meetings and conferences with industry representatives and the investing public.
• Cultivate strong working relations with leaders across Member Supervision and throughout FINRA the SEC states other regulatory agencies and the industry.

Education/Experience Requirements:

• Bachelors 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.

• 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 industry wide 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 effectively build relationships and liaise with internal and external parties.

• Expert ability to identify and prioritize risk including making timely risk-based decisions.

• Expert management and leadership skills.

• Excellent written and verbal communication skills including interpersonal skills and presentation skills.

• Expert ability to make timely informed risk-based decisions.

Working Conditions:

• General hybrid office environment.

• Highly dynamic fast-paced environment with multiple high-visibility priorities.

• Travel and extended hours as needed

For work that is performed in CA CO FL TX IL PA MA MD VA Washington DC NY and NJ please refer to the chart below for the salary range for the corresponding addition to location actual compensation is based on various factors including but not limited to the candidates skill set level of experience education and internal peer compensation comparisons.

CA: Minimum Salary $192800 Maximum Salary $379700

CO/FL/TX: Minimum Salary $192800 Maximum Salary $379700

IL*/PA: Minimum Salary $192800 Maximum Salary $379700

MA/MD/VA/Washington DC: Minimum Salary $192800 Maximum Salary $379700

NY*/NJ: Minimum Salary $192800 Maximum Salary $379700

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

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

#LI-Hybrid

To be considered for this position please submit an application. Applications are accepted on an ongoing basis.

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.

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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 FINRAs Employee Relations team at 240.386.4865 or by email atPlease note that this process is exclusively for inquiries regarding application accommodations.

Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal state or local law. As part of its dedication to employee wellness FINRA provides comprehensive health dental and vision insurance. Additional insurance includes basic life accidental death and dismemberment supplemental life spouse/domestic partner and dependent life and spouse/domestic partner and dependent accidental death and dismemberment short- and long-term disability long-term care business travel accident disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution tuition reimbursement commuter benefits and other benefits that support employee wellness such as adoption assistance backup family care surrogacy benefits employee assistance and wellness programs.

Time Off and Paid Leave*

FINRA encourages its employees to focus on their health and wellness in many ways including through a generous time-off program of 15 days of paid time off 5 personal days and 9 sick days unless otherwise required by law (all pro-rated in the first year). Additionally we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave jury duty leave bereavement leave voting and election official leave for federal state or local primary and general elections care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

*Based on full-time schedule

Important Information

FINRAs 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 Codes investment and securities account restrictions and new employees must comply with those investment restrictionsincluding disposing of any security issued by a company on FINRAs Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentby 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.

You can read more about these restrictions here.

As standard practice employees must also execute FINRAs Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the companys policy on nepotism.

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.

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 FINRAs Employee Relations team at 240.386.4865 or by email atPlease note that this process is exclusively for inquiries regarding application accommodations.

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.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

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