Director, Member Relations & Education

FINRA • Full-time • Rockville (Gira), United States of America • 2w ago

Major Purpose:

Member Relations and Education (MRE) is responsible for engaging with firms to foster a mutual understanding of business and regulatory matters among FINRA and the firms we regulate, developing resources to assist firms, and providing educational opportunities to advance understanding of and compliance with a firm’s regulatory obligations. MRE accomplishes this in a variety of ways, including, managing regional and advisory committees, capturing feedback from committees and firms, planning and implementing conferences, events, and other industry education initiatives on rules, key topics and FINRA initiatives.

The Director, Member Relations & Education is a senior member of MRE’s leadership team, responsible for playing a key role in the strategy development and execution of FINRA’s outreach events, setting Agendas and Priorities for all outreach events/meetings (including advisory and regional committees) and collaborating with key stakeholders. This includes: (a) soliciting agenda items internally/externally, (b) collaborating internally to vet/prioritize, then (c) creating the final agenda for each meeting as a result. The Director also owns and leads the follow up from outreach events, including actioning all feedback items, ensuring internal stakeholders are informed, and leading the efforts to report out on the feedback.

The Director also oversees and leads the appointment and orientation processes for new committee members.

Essential Job Functions:

Directs, conceptualizes, plans, and implements MRE’s strategic plan by developing and overseeing programs to achieve the Department’s outreach and feedback strategy.
Leads MRE’s strategic relationship with Risk Monitoring, including gathering trends and themes in each firm grouping to utilize in building outreach strategy and agendas for meetings.
Leads the collaboration and preparation of all outreach events, including the prioritization of internal topics, topics submitted by external constituents, and the preparation of internal speakers.
Directs the creation of agendas for outreach events, including Advisory Committees, Regional Committees, Working Groups, and Roundtables. Attends in-person meetings (travel required).
Directs the consolidation of outreach feedback on an ongoing basis to assist in identifying areas of prioritization for the Department and organization, as well as to inform MRE’s education strategy for member firms.
Directs action items following outreach meetings to ensure internal stakeholders are informed of member firm feedback and potential solutions are effectively vetted.
Oversees the appointment of new committee members, including identification and recommendation of committee members, as well as directing the orientation process.
Ensures outreach strategies include applicable risks and that corrective action is taken when needed.
Maintains an in-depth working knowledge of legal, policy and regulatory issues related to the regulation and oversight of securities brokers, including regulatory trends, and the application of FINRA tools.
Develops and maintains effective relationships with senior leaders throughout the organization and across the industry including member firms, and committee members as needed.
Serves as a key contact for member firms to provide feedback on FINRA regulations and regulatory programs, as well as a resource for members that would like to be more involved in FINRA committees.
Stays abreast of industry trends and activities through external networks and education to assess the opportunities for changing MRE’s strategy.
Oversees, develops and monitors budgets for MRE’s outreach meetings.
Works closely with the head of MRE and the senior management team to effectively manage and support the Department strategy, and act as a strategic thought partner.
Actively supervises the activities and day to day responsibilities of staff; directing completion of work, advising and developing staff.
Leads cross functional teams and internal working groups in implementing MRE outreach plans with input from Department Leadership; sets goals and objectives for these teams.
Provides transparency to key internal stakeholders to ensure they are aware of and can help inform Department initiatives, including ensuring content and agendas at outreach meetings are covering priority topics, and ensuring member firm feedback is shared and actioned appropriately.
Creates a collaborative and innovative work environment for the team to successfully execute Department initiatives across groups.
Actively supports the Department's goal of promoting diverse perspectives from a wide range of firm business models and sizes, including striving for diversity on FINRA committees.

Education/Experience Requirements:

Bachelor’s degree in Business or equivalent combination of education and relevant work experience required.
Minimum of ten (10) years relevant experience required, with at least six (6) years in the securities industry.
Proven experience successfully leading and coaching employees in a collaborative team environment.
Excellent presentation, communication (both verbal and written), and interpersonal skills. Proven ability to interact with executive staff and member firms, and to influence cross-functional teams.
Proven problem solving and consensus building skills are essential.
Strong knowledge of FINRA, the systems used by its members, and securities markets is strongly desired.
Proficiency with the full suite of office software applications preferred.
Strong interpersonal and relationship skills coupled with the ability to build and strengthen relationships at all levels of the business, including c-suite, and influence internal and external key stakeholders.
Ability to work autonomously with a high degree of independent judgement and decision making.

Work Conditions:

Hybrid office environment. Onsite presence, and frequent travel to member firm sites, FINRA offices, and other locations as required for external member firm meetings and internal events.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the 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.

CA: Minimum Salary $150,600, Maximum Salary $305,000

CO/HI/MN/VT*: Minimum Salary $131,100, Maximum Salary $254,000

IL*: Minimum Salary $144,000, Maximum Salary $279,500

Jersey City, NJ/NYC, NY: Minimum Salary $157,300, Maximum Salary $305,000

MA/WA: Minimum Salary $131,100, Maximum Salary $292,300

MD/Washington, DC: Minimum Salary $150,600, Maximum Salary $292,300

NJ State: Minimum Salary $144,000, Maximum $305,000

NY State: Minimum Salary $131,100, Maximum Salary $305,000

*Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while 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.

Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.

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 atEmployeeRelations@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. 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.

*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 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.

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws.

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.