About the position

The Senior Director is a key member of the Market Oversight Surveillance and Market Intelligence section’s leadership team and is responsible for the effective generation and progression of regulatory reviews conducted by the section. This role communicates and innovates with peers across the organization to facilitate sharing of surveillance intelligence to improve our ability to meet FINRA’s mission. The function of this role is to ensure that member firms are complying with applicable rules and regulations. This role administers directives and policies established by Market Oversight (MO) to ensure the effective and efficient functioning of assigned teams. Essential Job Functions; Directs teams of managers and individual contributors and is accountable for meaningful career development conversations and regular coaching and feedback. Directs their team’s operations and strategic objectives, demonstrates advanced expertise of the work in their specific area and has an advanced understanding of a broader scope of work in adjacent teams. Leads the execution of the surveillance program to ensure progress toward the organization's goals and objectives. Contributes to business objectives by designing and implementing effective measures to manage surveillance matters. Communicates strategically with People Solutions and work area management to identify core training needs, subsequently establishing structure and requirements to successfully deliver comprehensive training. Directs special projects, surveys, and technology initiatives that can potentially have an impact on Surveillance. Manages the review and analysis of regulatory intelligence received through a variety of sources, including internal sources, regulatory tips, customer complaints, firm regulatory filings, and referrals from other regulators. Continually monitors for program risks and suggests the development of solutions. Manages tactical and operational aspects of their team (e.g., performance and compliance), as well as ensuring achievement of team goals within broader organizational strategy. Ensures that all regulatory requests are fulfilled in a timely and accurate manner. Represents FINRA in internal/external meetings and speaking engagements. Demonstrates FINRA’s values of Responsibility, Innovation, Collaboration and Expertise in interactions with colleagues, management, FINRA members, and outside parties. Monitors and implements solutions to achieve the section’s measures of success. Demonstration of FINRA’s values. Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity. Other Responsibilities: Represents FINRA at speaking engagements with various internal and external constituencies. Lead multi-level initiatives across Regulatory Operations. Provides subject matter expertise in regulatory area to advance FINRA and industry initiatives (e.g., CAT, Notice to Members, rule filings, market events, congressional testimony preparation). Remains current on industry trends, practices, and regulatory impacts.

Responsibilities

• Directs teams of managers and individual contributors and is accountable for meaningful career development conversations and regular coaching and feedback.
• Directs their team’s operations and strategic objectives, demonstrates advanced expertise of the work in their specific area and has an advanced understanding of a broader scope of work in adjacent teams.
• Leads the execution of the surveillance program to ensure progress toward the organization's goals and objectives.
• Contributes to business objectives by designing and implementing effective measures to manage surveillance matters.
• Communicates strategically with People Solutions and work area management to identify core training needs, subsequently establishing structure and requirements to successfully deliver comprehensive training.
• Directs special projects, surveys, and technology initiatives that can potentially have an impact on Surveillance.
• Manages the review and analysis of regulatory intelligence received through a variety of sources, including internal sources, regulatory tips, customer complaints, firm regulatory filings, and referrals from other regulators.
• Continually monitors for program risks and suggests the development of solutions.
• Manages tactical and operational aspects of their team (e.g., performance and compliance), as well as ensuring achievement of team goals within broader organizational strategy.
• Ensures that all regulatory requests are fulfilled in a timely and accurate manner.
• Represents FINRA in internal/external meetings and speaking engagements.
• Demonstrates FINRA’s values of Responsibility, Innovation, Collaboration and Expertise in interactions with colleagues, management, FINRA members, and outside parties.
• Monitors and implements solutions to achieve the section’s measures of success.
• Represents FINRA at speaking engagements with various internal and external constituencies.
• Lead multi-level initiatives across Regulatory Operations.
• Provides subject matter expertise in regulatory area to advance FINRA and industry initiatives (e.g., CAT, Notice to Members, rule filings, market events, congressional testimony preparation).
• Remains current on industry trends, practices, and regulatory impacts.

Requirements

• Bachelor’s degree and a minimum of ten (10) years of experience in the securities/financial services industry; or an equivalent combination of education and experience in positions of increasing responsibilities.
• Minimum five (5) years supervisory experience required.
• Demonstrated project management, process improvement, understanding of surveillance development lifecycle and goal attainment skills.
• Extensive working knowledge of FINRA, MSRB and other SRO rules and the Securities Exchange Act of 1934 and the rules and regulations thereunder.
• Experience with investigations involving potential securities rule violations.
• Demonstrated ability to lead regulatory programs and produce outstanding measurable results.
• Requires excellent written and verbal communications skills, including interpersonal and presentation skills.
• Strong organizational skills and excellent attention to detail.

Benefits

• Employees may be eligible for a discretionary bonus in addition to base pay.
• Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law.
• As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance.
• Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal.
• FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
• Time Off and Paid Leave FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year).
• Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule).
• Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment).
• Full-time employees receive nine paid holidays.