Impress employers and recruiters.
Choose from hundreds of resume examples.

Impress employers and recruiters.
Choose from hundreds of resume examples.

Target Resume Now

About the Role

Serves as a trusted thought leader and strategic advisor to the EVP of Enforcement, shaping the department's strategic direction and operational excellence. Provides expert advice and sound judgment on operational, policy, and regulatory matters, acting as the EVP's delegate in critical situations. Leads teams to support core operations, enabling senior management to advance FINRA's regulatory mission.

Responsibilities

• Serve as a strategic partner and thought leader to the EVP, operating as a trusted advisor.
• Exercise sound judgment and independent decision-making authority within delegated scope.
• Lead strategic analysis and problem-solving on complex, precedent-setting matters.
• Provide actionable recommendations and strategic options for executive decision-making.
• Drive innovation in Enforcement operations and shepherd special projects.
• Provide expert advice and support on sensitive or confidential matters related to Enforcement management and operations.
• Serve as a liaison and strategic partner across FINRA on Enforcement matters.
• Lead cross-functional initiatives spanning various business units.
• Establish and maintain critical relationships with internal and external stakeholders.
• Lead or participate in enterprise-wide initiatives where Enforcement senior leadership is required.
• Partner with Communications to develop and execute comprehensive communications strategies.
• Leverage expertise to advise on media responses, internal/external communications, case dispositions, and external speaking engagements.
• Serve as a liaison for Enforcement matters related to external information requests.
• Liaise with Unified Services and internal functions to prepare for and respond to FSIO requests.
• Support planning and preparation for meetings with FSIO and lead implementation of FSIO-related remediation.
• Oversee Central Intake Group, establishing performance standards and metrics.
• Oversee Forensic Investigation and Litigation Support (FILS) unit, ensuring compliance.
• Oversee Enforcement vendors to optimize value and manage costs.
• Oversee Paralegal function, fostering operational excellence and professional development.
• Establish operating procedures, quality assurance frameworks, and performance metrics for all functions under purview.
• Monitor performance and implement continuous improvements.
• Lead, mentor, and develop high-performing teams.
• Build and maintain a collaborative environment where diverse perspectives are valued.
• Exemplify and champion FINRA's values.
• Demonstrate exceptional collaboration in furtherance of FINRA's mission.

Requirements

• Bachelor's degree or equivalent required, preferably in business or communications field.
• MBA, JD, or other advanced degree in business, law, finance, or related field strongly preferred.
• Minimum of 12+ years of progressive experience in financial services regulation, enforcement, compliance, or related roles.
• At least 3-5 years in a senior leadership, advisory, or management capacity.
• Strong collaborator and team builder.
• Exceptional organizational skills, with the ability to administer multiple complex assignments concurrently and execute against tight deadlines.
• Deep knowledge of the regulation and operation of the U.S. broker-dealer industry.
• Familiarity with the broader landscape of financial regulation and self-regulatory organizations.
• Track record of successfully managing complex, multi-disciplinary teams and projects.
• Proven record of acting independently in an unstructured environment to identify and address challenges, seize opportunities, develop new initiatives, and strengthen existing programs.
• Excellent leadership skills, including the ability to organize and deal effectively with people from a variety of backgrounds.
• Ability to operate with discretion and professionalism when handling sensitive and confidential matters.
• Employees must execute FINRA’s Employee Confidentiality and Invention Assignment Agreement.
• Employees must comply with the company’s policy on nepotism.
• Employees must disclose all brokerage accounts and authorize brokers to provide duplicate statements to FINRA.
• Employees must comply with investment restrictions and dispose of securities on FINRA’s Prohibited Company List or obtain a waiver.
• Employees must maintain securities accounts at firms that provide an electronic feed (e-feed) to FINRA.

Skills

• Excellent written and verbal communication skills
• Excellent interpersonal skills
• Excellent presentation skills
• Strategic analysis
• Problem-solving
• Risk assessment
• Competitive intelligence
• Innovation
• Organizational structure
• Succession planning
• Hiring/staffing
• Strategic planning
• Risk mitigation
• Policy development
• Budget and resource allocation
• Cross-functional initiative leadership
• Stakeholder relationship management
• Communications strategy development and execution
• Media response advising
• External speaking engagement support
• External information request management
• FSIO request preparation and response
• Performance standards establishment
• Quality metrics establishment
• Accountability measure establishment
• Continuous improvement implementation
• Team leadership
• Mentoring
• Team development
• Collaborative environment building
• Valuing diverse perspectives
• Empowerment

Location

• Washington, DC
• New York, NY
• Los Angeles, CA
• San Francisco, CA
• CO
• FL
• TX
• IL
• PA
• MA
• MD
• VA

Work Type

• Hybrid work environment
• Occasional travel required
• Extended hours required

Experience Level

• 12+ years of progressive experience in financial services regulation, enforcement, compliance, or related roles
• 3-5 years in a senior leadership, advisory, or management capacity

Education Level

• Bachelor's degree or equivalent
• MBA, JD, or other advanced degree strongly preferred

Salary/Compensations

• Los Angeles, CA: Minimum Salary $245,000, Maximum Salary $331,000
• San Francisco, CA: Minimum Salary $245,000, Maximum Salary $331,000
• CO/FL/TX: Minimum Salary $192,800, Maximum Salary $379,700
• IL/PA: Minimum Salary $192,800, Maximum Salary $379,700
• MA/MD/VA/Washington, DC: Minimum Salary $192,800, Maximum Salary $379,700
• NY/NJ: Minimum Salary $192,800, Maximum Salary $379,700

Benefits

• Discretionary bonus
• Overtime pay (for non-exempt employees)
• Comprehensive health, dental and vision insurance
• Basic life insurance
• Accidental death and dismemberment insurance
• Supplemental life insurance
• Spouse/domestic partner and dependent life insurance
• Spouse/domestic partner and dependent accidental death and dismemberment insurance
• Short-term disability insurance
• Long-term disability insurance
• Long-term care insurance
• Business travel accident insurance
• Disability insurance
• Legal insurance
• Immediate participation and vesting in a 401(k) plan with company match
• Additional FINRA-funded retirement contribution
• Tuition reimbursement
• Commuter benefits
• Adoption assistance
• Backup family care
• Surrogacy benefits
• Employee assistance programs
• Wellness programs
• 15 days of paid time off
• 5 personal days
• 9 sick days
• Two volunteer service days
• Military leave
• Jury duty leave
• Bereavement leave
• Voting and election official leave
• Care of a family member leave (available after 90 days of employment)
• Childbirth and parental leave (available after 90 days of employment)
• Nine paid holidays

About the Company

• FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States.
• FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC).
• FINRA's independent regulation plays a critical role in America’s financial system—all at no cost to taxpayers.
• FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms.
• FINRA uses technology powerful enough to look across markets and detect potential abuses.
• In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets.
• FINRA operates from Washington, DC, and New York, NY, with other offices around the country.
• Our Growth is Creating Great Opportunities!
• Our team is expanding, and we want to hire the most talented people we can.
• Continued success depends on it!
• Thanks for your interest in working on our team!
• Visit FINRA's Technology Page

Equal Opportunity

• All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law.
• FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s Employee Relations team at 240-386-4865 or by email at EmployeeRelations@FINRA.org.
• FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.
• FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.