17 min listen
Member Supervision: Introducing Bari Havlik and the Exam Program Transformation
FromFINRA Unscripted
ratings:
Length:
15 minutes
Released:
Nov 6, 2018
Format:
Podcast episode
Description
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
FINRA360 Progress Report
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
FINRA360 Progress Report
Released:
Nov 6, 2018
Format:
Podcast episode
Titles in the series (100)
FINRA360: Building a Stronger FINRA: How can FINRA become a better, more effective regulator? That’s the question Robert Cook is looking to answer by soliciting feedback from financial firms, investors and other stakeholders. FINRA360 is the program through which he is turning the answer to the question into realty. by FINRA Unscripted