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Vice President, Risk Monitoring - Trading & Execution Firm Grouping
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- Leader responsible for overseeing teams focused on the tailoring of risk monitoring and assessment for firms under their responsibility, as well as the exam plan and scope of exams.
- Essential Job Functions:Provides strategic leadership and oversight in the Trading and Execution Firm Grouping's Risk Monitoring efforts and ensures appropriate tailoring to the of the programs to address relevant risks associated with the business activities of the firms within the group.
- Responsible for partnering closely with, and providing feedback to, head of Risk Monitoring Standards and the Group Leader.
- Work closely with Government Relations and FISIO Oversight Liaison and other leaders throughout FINRA. Ensure that the relationship with assigned member firms results in constructive 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.
Expired 20 days agoInactive Job
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