Overview
How does FINRA evaluate branch supervision during an exam, and what makes a program credible in practice?
Recorded live at RegEd Engage 2026, a former FINRA Examination Director shares the FINRA mindset and, together with a current Chief Compliance Officer and former state securities regulator, provides practical observations on how branch oversight, audit execution, and issue remediation are assessed, where firms most often fall short, and how expectations are evolving in a more risk-based exam environment. Attendees will gain clear guidance on strengthening branch supervision and demonstrating effective oversight at scale.
Presenters
Carie Heckler
Chief Compliance Officer
Integrity Alliance
Presenters
Scott Maestri
Founder and Managing Principal
M Right Consulting
Presenters
Adam Schaub
VP, Platform Product Management
RegEd
About RegEd
RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.
Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.
Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients.