Job Abstract

Essential Job Functions:

• Supervises contract security officers at assigned location(s) and supports established security program initiatives and standards for FINRA offices. Serves as liaison with security vendor to maintain proper staffing levels, and reviews and processes monthly invoices.
• Serves as the primary responder to emergency events at FINRA offices. 
• Identifies, assesses, and evaluates actual and potential threats to assigned offices of responsibility from all sources; and recommends corrective measures to reduce vulnerabilities.
• Conducts formal program reviews of assigned offices of responsibility to ensure compliance and conformance with FINRA Security Standards and best industry practices.
• Assist in the validation of the efficacy of program policies, plans, and operations through the conduct of tests, exercises, and drills at assigned locations. Documents results of such activities, identifies program vulnerabilities, and recommends corrective actions.
• Support establishment of security training program initiatives and standards for staff and those persons assigned specific security related duties for assigned offices.
• Handles security awareness and orientation on security protocols for the enterprise.
• Performs or assists in conducting investigations of employee or vendor misconduct, security breaches, threats against employees or facilities, and instances of criminal activity associated with FINRA business operations and assets within assigned area and as directed.
• Provide security guidance to Meetings Conferences & Travel (MCS) team for FINRA public meetings, conferences, and key events.
• Coordinates similar support for offsite board meetings and provides onsite assistance for these events within assigned area.
• Provide guidance and implementation for physical security projects at assigned offices of responsibility.
• Facilitates security support and assistance for contentious hearings as requested or as deemed appropriate within assigned area.

Other Responsibilities:

• On-call 24x7 to respond to emergencies and other events.
• Performs other duties as assigned.

Education/Experience Requirements:

• High School diploma or equivalent, and minimum eight (8) years’ experience in law enforcement and/or security management.
• Minimum two years of general investigative experience.
• Minimum three years of supervisory or management experience.
• Knowledge of electronic security systems relating to intrusion and access control.
• Certified Protection Professional designation through the American Society of Industrial Security preferred.
• Ability to effectively communicate orally and in writing.
• Demonstrated computer skills to include knowledge of Microsoft Office Suite.

Working Conditions:

• Onsite in a General office environment.
• Must be able to work outside of normal business hours. 
• Travel to other FINRA offices and onsite locations will be required.

For work that is performed in CA, Washington, DC, CO, HI, New York, NY, WA and MD the chart below outlines the proposed salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons.

California: Minimum Salary $91,500, Maximum Salary $170,900

Washington, DC/Maryland: Minimum Salary $91,500, Maximum Salary $163,700
Colorado/Hawaii: Minimum Salary $79,500, Maximum Salary $142,300
New York, NY: Minimum Salary $95,400, Maximum Salary $170,900
Washington State: Minimum Salary $79,500, Maximum Salary $163,700

#LI-Hybrid

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

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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. Please note that this process is exclusively for inquiries regarding application accommodations. 

Employees may be eligible for a discretionary bonus in addition to base pay. 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 and many other benefits. 

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 (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.

*Based on full-time schedule

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. 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, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

You can read more about these restrictions here.

As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

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.

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