Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead

Essential Job Functions:

• Leader for Firm Grouping who will 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 Supervision’s centralized and support functions, as well as the other Member Supervision programs.
• Provides strategic leadership and oversight to the Examination Program for the Firm Grouping, including ensuring timeliness, effectiveness, and appropriate tailoring of the examinations to address relevant risks associated with the business activities and size of the firms within the Group. Ultimate responsibility for understanding, identifying, and addressing industry trends and developments for the firms in the grouping.
• In collaboration with Risk Monitoring Senior Management, responsible for determining which firms should be on the annual exam plan, including the exams’ scopes. Coordinate and collaborate with Risk Monitoring Management to ensure the examination plan for assigned firms is executed in a quality manner and established goals are met.
• 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.
• Determine examiner capacity and skill levels to properly create the annual exam plan.
• Establishes the strategic goals and objectives for an examination program specific to firms in the Firm Group. Responsible for partnering closely with, and providing regular updates and metrics, and informing strategic decisions to Examinations Senior Leadership.
• Participate in budgeting and forecasting for Firm Group, including setting strategy and vision for headcount evaluation, setting headcount projections.
• Provides MS Senior Management with the Firm Group’s key metrics and potential exam findings and trends. Manages prioritization and delivery of updates on key exam issues and partners with other Firm Grouping VPs 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.
• Guide and lead Firm Group to ensure active and effective communication across Examinations, Member Supervision, and FINRA.  Manage Firm Group support and implementation of corporate, group and department strategic goals, vision, and initiatives. Ensure early identification of areas of changing risk or concern, as well as communication to Member Supervision risk functions of the same and responsible for proactively addressing these areas on behalf of Examinations.
• Provide guidance, leadership, and support to Firm Group Examination teams to help address complex and critical exam issues.
• Maintain current in-depth knowledge of emerging exam findings and status of the higher impact and risk exams within the Firm Group.
• Ensure that the interaction with member firms in the firm grouping 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.
• Continue to evolve the Examinations program forward; identify operational needs and vision for a more efficient and effective Examinations program for the Firm Grouping area, 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.
• Identify, recruit, develop and empower talent at all levels throughout Firm Grouping.
• Participate as a senior and strategic leader in various special projects, technology initiatives, and training.
• Role model for inspirational and supportive leadership and creates an environment of strong employee engagement.
• Adapts to the changing regulatory and/or business environment of their Firm Group and maintains deep knowledge of new business practices and products.
• Manages Senior Directors within their Firm Group.

Education/Experience Requirements:

• MBA, JD, other graduate degree and/or relevant industry certification(s) considered.

• Bachelor's Degree or an equivalent combination of education and experience required. Major in Accounting, Finance, Economics, Business Administration, or related fields preferred.

• Significant securities, compliance or financial regulatory experience in Firm Group area, and significant experience managing large teams and complex projects and initiatives with competing priorities.

Knowledge Requirements:

• Expert knowledge of auditing and/or testing

• Expert knowledge of securities rules and regulations and how they relate to their respective Firm Group

• Expert knowledge of Firm Group business models, business lines, customer bases, products, and services

• Expert knowledge of rule changes and interpretations and how they relate to their respective Firm Group

• Expert knowledge of industry wide events and trends affecting their respective Firm Group

• Expert knowledge of FINRA departments and their mandates

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 location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons.

CA: Minimum Salary $192,800, Maximum Salary $379,700

CO/FL/TX: Minimum Salary $192,800, Maximum Salary $379,700

IL*/PA: Minimum Salary $192,800, Maximum Salary $379,700

MA/MD/VA/Washington, DC: Minimum Salary $192,800, Maximum Salary $379,700

NY*/NJ: Minimum Salary $192,800, Maximum Salary $379,700

*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.

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 Employee Relations team at 240.386.4865 or by email at [email protected]. Please 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

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.

You can read more about these restrictions here.

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.

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 FINRA's Employee Relations team at 240.386.4865 or by email at [email protected]. Please 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.

©2025 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.