Job Abstract

Essential Job Functions:

• Manages the establishment of centralized operational processes to increase efficiency, minimize duplication, and ensure sufficient controls are in place.
• Drive operational objectives and develop and implement programmatic Operational Metrics to measure performance against those objectives.
• Oversees the Regulatory Change process for a subset of business units to ensure impact assessments are performed and necessary builds/ updates occur.
• Manages special projects and initiatives including, but not limited to internal and external requests.
• Oversees programmatic Business Case idea generation, development, and tracking.
• Supervises the development of Policies, Procedures and Standards and the updating/maintenance of content within various Systems of Record.
• Acts as a primary policy decision maker and participates as a lead on applicable Governance Committees.
• Serves as a Fusion Risk Lead and/or Operational Advisor on large scale initiatives.
• Facilitates departmental wide meetings to communicate updates and train staff on programmatic changes to processes, tools, controls, technology, policy/procedures.
• Partnering and liaising with senior leaders across the enterprise and external stakeholders to accomplish strategic objectives, including, but not limited to issue remediation.
• Makes recommendations to the Head and/or Deputy Head of Member Supervision OPS that support development of the strategic direction of operations within the department.
• Serves as stakeholder on governance forums, and where necessary, a proxy for the Head and/or Deputy Head of Member Supervision OPS.
• Manages a team of Member Supervision Operations, Procedures and Standards (OPS) associates.

Education/Experience Requirements:

• Bachelor’s degree in business or related field and a minimum of five (5) years of directly related securities experience, or an equivalent combination of education and experience.
• Advanced securities, compliance or financial regulatory experience
• Prior experience in FINRA’s Exam and/or Risk Monitoring program preferred
• Experience with the establishment of policies and procedures
• Experience identifying and remediating control environment issues
• Experience managing projects and/or people preferred
• Advanced knowledge of FINRA's risk hierarchy
• Advanced knowledge of FINRA departments and their mandates
• Intermediate-to-Advanced level proficiency in Microsoft Excel, Word, and PowerPoint

Working Conditions:

• Work is normally performed in an office environment at FINRA.

#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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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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