A Career Highlight: Exam and Risk Monitoring Program Transformation Update
In 2018, FINRA embarked on a large-scale transformation of its examination and risk monitoring program to make FINRA a more effective, agile and risk-focused regulator. A lot of progress has been made in the last year.
The group is in the process of realigning around the business models of FINRA member firms, introducing a new single point of accountability and installing a new senior leadership team.
On this episode of FINRA Unscripted, Bari Havlik, Executive Vice President of Member Supervision, tells us more.
Resources mentioned in this episode:
Episode 21: Introducing Bari Havlik
FINRA Examination Program Improvements
A Few Minutes with FINRA: Creating a Single, Unified Examination Program