Maureen Nieda

• Manage a team of 5-6 individuals and execute an average of 40 member firm examinations per year.
• Develop and maintain positive relationships with internal stakeholders to establish consensus on examination scope.
• Implement a risk-based approach when approving examination scope and reviews conducted by the team.
• Ensure documentation associated with examinations accurately describes review methods and complies with internal policy.
• Conduct research utilizing internal and external public and private databases to ensure the reviews encompassed within our examinations adequately covers associated risks.
• Participate in recurring meetings with internal stakeholders to disseminate programmatic updates.
• Mentor junior team members for career advancement, fostering a pipeline of future leaders within the organization.
• Represent the organization in Firm Conferences nationwide.

May 2014 – April 2015 Senior Examiner

April 2015 – April 2016 Associate Principal Examiner

April 2016 – November 2020 Principal Examiner

• Acted in Exam Manager role on High Risk/High Impact Firm Exam included in Strategy Pilot in August 2019.
• Assisted Exam Director with 2020 Exam Planning for team during Exam Manager’s leave.
• Assisted Exam Director during Transformation by communicating key information and ensuring the team’s milestones were on target for team in accordance with the Exam Plan.
• Selected for South Region’s Future Leader Program in 2019.
• Worked on the High Risk Firm Exam Team in 2018.
• Execute an average of five – six Firm Exams annually, primarily acting as the Lead Examiner, while ensuring the strategy adequately addresses the firm’s risk and that completion of assignments are within budgeted timeframes.
• Assisted teams within the District on high risk exams requiring immediate attention such as unannounced onsite visits stemming from issues ranging from net capital deficiencies and Regulatory Tips alleging fraud or customer harm.

• Analyzed the firm’s financial statements to develop review strategies during the examination’s pre-planning stages.
• Conducted Net Capital, Financing, Reserve Formula and Operational reviews of member firms in order to verify compliance with applicable rules and interpretations.
• Organized and led meetings with firm personnel as part of the ongoing examination process, as well as to communicate any findings in a timely manner.
• Provided on-the-job training for new Examiners on the team and communicated subsequent feedback to FINRA management.

• Analyzed financial statements to determine creditworthiness and repayment capacity of borrowers.
• Direct lending authority of up to US $500,000.
• Performed intricate global cash flows for larges commercial relationships, and updated analysis on an annual basis.
• Communicated directly with management to discuss any issues with loan requests or action plans for the relationship.
• Evaluated collateral position and assess its adequacy in respect to requested borrowings, including site visits.
• Analyzed the allowance for loan loss provisions (FASB-114) for downgraded loans.