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About the Role

The Director, MAP, Equity, Retail, & Capital Formation oversees the membership application process for FINRA, including new and continuing applications, materiality consultations, principal waivers, and agreement updates. This senior role provides operational leadership, supervises analysts, defines roles, enhances staff skills, and offers expert guidance on escalated matters. The Director also collaborates on interdepartmental regulatory initiatives.

Responsibilities

Actively manage and guide application staff in the execution of the Department’s risk-based application program of member firms, in compliance with FINRA’s Standards of Admission and processes.
Create and facilitate best practices for program execution aligned to organizational and regulatory requirements.
Provide timely operational status updates and application-level reporting to senior leadership.
Monitor established metrics and analytics to enable effective risk-based decision-making and identify opportunities to improve operational effectiveness and efficiency.
Establish and implement standards to ensure consistent methodologies are in place to guide staff, and prospective or current member firms in the MAP processes.
Monitor legal and regulatory requirements applicable to the program, providing escalation and recommendations on emerging risks and compliance issues.
Proactively identify skill gaps and development opportunities for the individual, team and broader program.
Partner with key stakeholders in the ideation, development, and adoption of training, resources, and other upskilling tools.
Lead communications with FINRA personnel and member firms and consultants, providing effective guidance.
Manage a team of experienced individual contributors, responsible for career development, coaching, and feedback.
Assess performance of staff and prepare and deliver performance evaluations.
Actively manage the overall team structure through recruiting, interviewing, and retaining staff.
Participate in the development and execution of the Department’s compliance programs.
Serve as a presenter or panelist for member conferences and training.
Attend conferences related to securities industry rules and regulations.
Demonstrate FINRA's values.
Collaborate, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity.

Requirements

Bachelor’s degree is required.
Major in Finance, Accounting, Business Administration, or related field preferred; advanced degree preferred.
A minimum of ten (10) years of regulatory experience.
A minimum of two years of people leadership experience.
Advanced knowledge of securities industry rules, regulations and guidelines.
Significant experience in a directly related securities industry.
Strong collaborator and team builder.
Excellent written and verbal communication, interpersonal, and presentation skills.
Strong organizational skills, with an ability to manage multiple complex assignments concurrently and execute against tight deadlines.
FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.
Employees must execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification.
Employees must comply with the company’s policy on nepotism.
Employees must disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest.
Employees must authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts.
Employees must comply with the Code’s investment and securities account restrictions.
New employees must dispose of any security issued by a company on FINRA’s Prohibited Company List or obtain a written waiver from their Executive Vice President by the date they begin employment.
Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA.
Employees must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

Skills

Securities industry rules, regulations and guidelines
Risk-based application program management
Operational leadership
Staff supervision and development
Interdepartmental collaboration
Best practices implementation
Metrics and analytics monitoring
Legal and regulatory monitoring
Communication with regulatory bodies and member firms
Team management
Performance assessment and evaluation
Recruiting and retention
Compliance program development
Presentation skills
Collaboration
Written communication
Verbal communication
Interpersonal skills
Organizational skills
Managing multiple complex assignments
Executing against tight deadlines

Location

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

Work Type

Hybrid work environment
Travel as required
Extended hours as required

Experience Level

Senior-level professional
Minimum of ten (10) years of regulatory experience
Minimum of two years of people leadership experience

Education Level

Bachelor’s degree in Finance, Accounting, Business Administration, or related field preferred
Advanced degree preferred

Salary/Compensations

Los Angeles, CA: Minimum Salary $176,000, Maximum Salary $264,000
San Francisco, CA: Minimum Salary $184,000, Maximum Salary $276,000
CO/FL/TX: Minimum Salary $134,400, Maximum Salary $260,400
IL/PA: Minimum Salary $147,600, Maximum Salary $286,500
MA/MD/VA/Washington, DC: Minimum Salary $154,400, Maximum Salary $299,600
NY/NJ: Minimum Salary $154,400, Maximum Salary $312,600

Benefits

Discretionary bonus
Overtime pay
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 (full-time employees)

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 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.
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!

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.