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PODCAST

A Career Highlight: Exam and Risk Monitoring Program Transformation Update

December 10, 2019

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

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