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About the Role

Provides critical leadership in proactive regulatory risk assessment and the development of regulatory strategy, enabling Surveillance to effectively develop strategy informed by market conditions and developments.

Responsibilities

• Conduct continuous qualitative research into market conditions and developments.
• Manage an analyst to develop and deliver specialized reports on critical regulatory issues and trends.
• Assess issues impacting the department and determine the proper course of action.
• Identify, assess, and analyze high risk and urgent issues for senior leadership.
• Develop and maintain relationships with senior leaders and external FINRA constituents.
• Develop and manage Surveillance environmental SWOT analysis and support strategic goal development.
• Identify, develop, and respond to rule change management issues, including rules impact analysis.
• Evaluate business unit structures and processes to assess barriers to operational effectiveness.
• Drive decisions and steer implementation for new programs and improvements to existing programs.
• Work with the senior management team on SEC oversight inspections and FINRA internal audits.
• Develop presentations and reports for the board and Management Committee.
• Represent senior leadership at meetings and events with internal and external stakeholders.
• Work with counterparts across the organization to prepare for and respond to significant market events.
• Work with other FINRA departments to formulate FINRA’s response to issues and trends posing a risk of investor harm.
• Lead Surveillance’s engagement with Enterprise Risk Management, providing input on enterprise risk assessments.
• Demonstrate FINRA’s values and collaborate in furtherance of FINRA’s mission.

Requirements

• Bachelor's Degree and a minimum of ten (10) years of experience in securities, compliance or financial regulation required, or an equivalent combination of education and experience.
• Functional knowledge of FINRA's risk hierarchy and its relation to Regulatory Ops strategic goals and operations.
• Advanced knowledge of rule changes and interpretations and their relation to regulatory operations.
• Advanced knowledge of industry-wide events and trends.
• Proven record of creating and providing executive-level reporting using metrics, analysis, and data analytics.
• Experience making internal and external presentations as a subject matter expert.
• Substantial knowledge of, and experience with, the regulation and operation of U.S. broker-dealers.
• Familiarity with the broader landscape of financial regulation.
• Experience with securities market structure issues, associated data, regulations and/or market surveillance business processes is strongly preferred.
• Proven record of acting independently in an unstructured environment to identify and address challenges, make risk-based decisions, develop new initiatives, and strengthen existing programs.
• Strong collaborator and team builder.
• Exceptional organizational skills, with attention to detail and an ability to administer multiple complex assignments concurrently and execute against tight deadlines.
• Excellent leadership skills, including the ability to interact effectively and in a positive manner with people from a variety of backgrounds.
• Proven record of project management, process improvement and goal attainment skills.
• Producing high quality written work products.
• Employees must comply with FINRA’s Code of Conduct, including investment restrictions and financial disclosures.
• Employees must execute FINRA’s Employee Confidentiality and Invention Assignment Agreement.
• Employees must comply with the company’s policy on nepotism.

Skills

• Written communication
• Verbal communication
• Interpersonal skills
• Presentation skills
• Organizational skills
• Attention to detail
• Leadership skills
• Project management
• Process improvement
• Goal attainment

Location

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

Work Type

• Hybrid

Experience Level

• Senior
• Ten (10) years of experience

Education Level

• Bachelor's Degree
• MBA, JD, other graduate degree and/or relevant industry certification(s) preferred

Salary/Compensations

• Los Angeles, CA: Minimum Salary $225,000, Maximum Salary $338,000
• San Francisco, CA: Minimum Salary $235,00, Maximum Salary $353,000
• CO/FL/TX: Minimum Salary $158,000, Maximum Salary $308,900
• IL/PA: Minimum Salary $173,600, Maximum Salary $340,200
• MA/MD/VA/Washington, DC: Minimum Salary $181,500, Maximum Salary $355,400
• NY/NJ: Minimum Salary $181,500, Maximum Salary $370,700

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
• 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
• Childbirth and parental leave
• 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.
• 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.

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 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.