Branch Review Exam Manager

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Branch Review Exam Manager
The candidate will conduct risk assessments of issues identified during supervisory and operational exams of the Office of Supervisory Jurisdiction (OSJ) (and non-OSJ) and conduct quality assurance reviews of exam work papers. Manage our Branch Examiners and identify training and development opportunities customized to their needs; collaborate with colleagues located around the country, manage direct reports remotely; schedule/staff exams and ensure all travel-related expenses are in line with policy. Present exam findings to our field management teams, assess corrective actions, and maintain frequent contact with our divisional management in order to resolve issues that may arise during the exam process. Maintain a working knowledge of current FINRA, SEC, and state regulatory issues, as well as our written supervisory procedures and critically assess the audit program to make recommendations to the Head of Branch Review. Small amount of travel for work on a regular basis. A university degree (or international equivalent) preferably in finance, economics, business administration and/or an MBA or JD. Preferably 5 or more years industry experience, ideally with at least 3 years of Compliance/Legal and / or Audit experience. Experience managing teams, providing training, guidance and development to employees with diverse backgrounds and levels of experience. The ability to perform investigative, analytical, and interviewing responsibilities in a high pressure, deadline-driven environment. Excellent written and verbal communication skills and organizational, planning, and time management skills, as well as, proficiency in Microsoft Office – Word, Outlook, PowerPoint and Excel. Challenging situations and conversations don’t scare you. Team-orientated, while able to complete tasks independently. Motivated, diligent, organized, and able to drive tasks to closure.

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