Examination Director - Firm Grouping: Capital Markets

FINRA(1 month ago)

HybridFull TimeDirector$131,100 - $305,000Examinations

About this role

The Examination Director leads FINRA’s examination program for capital markets firms, overseeing exams of firms engaged in investment banking, underwriting, and capital markets activities. The role serves as a primary point of contact for exam teams and stakeholders, ensuring alignment with organizational strategy and regulatory mission. The position supports program improvement through synthesis of trends and guidance to leadership.

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Required Skills

Risk Fundamentals
Securities Rules
Business Models
Resource Allocation
Time Management
Stakeholder Liaison
Risk Identification
People Management
Project Management
Budget Management

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Qualifications

Bachelor's Degree
MBA
JD
Graduate Degree
Relevant Industry Certification(s)

About FINRA

finra.org

A vibrant market is at its best when it works for everyone. Join the Industry or Take an Exam Register Have Questions or Concerns? Contact Us Look up FINRA Disciplinary Actions Search Cases Research a Broker or Firm Search Brokercheck Featured Member Firm Hub New FINRA Initiatives to Support Members, Markets, and the Investors They Serve By Robert Cook, President and CEO, FINRA. To serve its mission—promoting investor protection, market integrity, and vibrant capital markets—FINRA must continuously improve its regulatory policies and programs to make them more effective and efficient. During my time as CEO, we have worked hard

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