Internal Examinations Manager Job Summary:The Internal Examinations Manager will work with a high level of autonomy to plan, schedule, conduct, and complete industry-required annual internal regulatory examinations throughout the year, in coordination with the firm's Chief Compliance Officers and senior managers across the firm. Before developing each examination, collaborate with Regulatory & Oversight Services (ROS) management to update annual risk assessments to identify the scope of each exam.
Essential Duties & Responsibilities: - Partner with ROS management to review and update annual risk assessments, ensuring alignment with regulatory requirements and organizational risk priorities.
- Plan, coordinate, and execute internal regulatory examinations across the firm. o Create test plans for each internal examination, specifying how each exam element will be tested. o Identify, obtain and review relevant data sets needed to test all applicable exam elements. o Document steps taken to complete each exam element and test results of each element.
- Collaborates with chief compliance officers, division directors, senior management and subject matter experts throughout the firm to gather information, validate findings, and assess control effectiveness.
- Prepare and deliver clear, concise internal examination reports and formal examination letters summarizing scope, findings, and recommendations. With ROS management's support, conducts annual CEO certification meetings, including preparation of material and presentation of examination outcomes.
Qualifications: - Proficient with Microsoft Office Suite Programs (Word, Excel, Outlook, Teams).
- Knowledge of rules and regulations of the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), Municipal Securities Rulemaking Board (MSBR), and other regulatory agencies.
- Knowledge of practices and procedures used in the securities industry.
- Knowledge of principles of security industry operations.
- Knowledge of financial markets and products.
- Experience identifying and analyzing data sets.
- Strong organizational and time management skills.
- Strong written and verbal communication skills.
Education and/or Work Experience:
- Minimum Education Required: Bachelor's degree (B.A) in a related discipline.
- Minimum Work Experience Required: 10+ years' experience in the financial services industry, including broker dealer experience, and performing operational process testing and documenting compliance with written procedures.
Licenses/Registration: - Series 7, 24, 66 preferred (at time of hire or within 6 months)
Work Environment: This position requires the ability to work in a stationary position for several hours at a time and the ability to lift up to 25 pounds, occasionally. Some filing is required. The work environment is an air-conditioned, smoke-free, office environment. This position routinely uses standard office equipment such as computers, phones, photocopiers and filing cabinets.
We offer a comprehensive benefits package which includes health, dental, vision, 401(k), life insurance, disability, and paid time off.
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