Member Supervision: Introducing Bari Havlik and the Exam Program Transformation
FINRA Unscripted
English - November 06, 2018 14:30 - 14 minutes - 13.6 MB - ★★★★★ - 45 ratingsGovernment Business finra compliance regulation regulator financial services stocks bonds stock broker brokerage firm investing Homepage Download Apple Podcasts Google Podcasts Overcast Castro Pocket Casts RSS feed
Previous Episode: Cybersecurity Awareness Month: Stay Connected and Protected
When Bari Havlik joined FINRA as Executive Vice President of the newly named Member Supervision team, she did so with big plans for the examination and risk monitoring programs.
After a more than 30 year career in compliance with the last 14 years spent as a chief compliance officer, Bari joined FINRA with a unique perspective on what FINRA could do to better leverage its staff and its talent and skills—while also eliminating duplication and improving the examination and risk monitoring experience for firms.
In this episode of FINRA Unscripted, Bari joins us to share more about her vision for the future of FINRA’s exam and risk monitoring programs.
Resources mentioned in this episode:
Program Transformation Announcement