17 min listen
A Career Highlight: Exam and Risk Monitoring Program Transformation Update
FromFINRA Unscripted
ratings:
Length:
21 minutes
Released:
Dec 10, 2019
Format:
Podcast episode
Description
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 HavlikFINRA Examination Program ImprovementsA Few Minutes with FINRA: Creating a Single, Unified Examination Program
Released:
Dec 10, 2019
Format:
Podcast episode
Titles in the series (100)
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