The National Cause Program – Intake, Assessment and Investigations Group (IAI) is the centralized unit for the intake, review, and analysis of regulatory intelligence received through a variety of sources, including internal sources, regulatory tips, customer complaints, firm regulatory filings, arbitration filings, and referrals from other regulators.
The Director, National Cause Program – Intake, Assessment and Investigations (IAI), is responsible for the oversight of the investigation of Events received that contain credible basis of an Outside Business Activities (OBA) or Private Securities Transaction (PST) violation. This role develops and supervises a specialized team charged with progressing preliminary investigations and full investigations on OBA and PST matters. This is a senior-level professional position supervising specialist investigative staff of various levels, defining assigned roles, increasing skills, and working under minimal guidance. The Director is an expert in identifying risks, developing regulatory strategies, and managing staff executing those strategies to completion to address the identified risks. This role is also responsible for ensuring the team effectively manages the evolving caseloads and ensuring timely completion of matters.
Essential Job Functions:
- Oversees team in the execution of preliminary investigations and investigations to achieve department-wide and corporate goals.
- Leads a team that works collaboratively yet independently to quickly disposition Matters as No Further Action (NFA), Cautionary Action Letter (CAL), or Enforcement referral.
- Collaborate with Enforcement including facilitating timely consultations and referrals.
- Monitors progress of investigations, team caseloads and corrects any imbalances, and ensures timely completion of matters.
- Monitors department dashboards daily to ensure Tiering Methodology and aging standards are monitored and issues addressed.
- Reviews and approves teamwork product, ensuring documentation and scope of review is complete.
- Responsible for the tactical execution of the Program.
- Develops investigative plans and approaches towards execution of investigations (both at the preliminary stage and full investigation stage).
- Responsible for mentoring, coaching, and training team members.
- Facilitates discussions with external regulators and responses to oversights and access requests.
- Supports department leadership; serves as an advocate for team members.
- Identifies and escalates situations that may present significant regulatory issues or potential programmatic risk, impact other FINRA business units, or represent emerging regulatory or market trends and proactively develop potential solutions.
- Assists in development of department policies and procedures.
- Consults on certain high-risk and/or high-complexity intake, preliminary investigation, and investigations, as required by established policies and procedures.
- Participates in and directs outreach with member-firms as part of public forums.
Other Responsibilities:
- Leads and/or participates in special projects, as appropriate.
Education/Experience Requirements:
- Bachelor’s degree and 10 years of experience in the securities/financial industry, or equivalent combination of education and relevant work experience. Advanced degree is a plus.
- Experience leading complex investigations in a high-volume environment with the ability to quickly pivot based on changing business priorities.
- Experience collaborating and driving outcomes in a regulatory environment. Established experience working with FINRA Enforcement a plus.
- Experience in the securities/financial industry with substantive knowledge of regulatory compliance in positions of increasing responsibility.
- Expert knowledge of relevant FINRA rules and the federal securities laws and demonstrated investigative experience.
- Expert knowledge of the securities markets and member firm operations and its books and records.
- Demonstrated ability to interact effectively and in a positive manner with management, peers, and other constituencies to accomplish the mission and goals of the Department.
- Demonstrated ability to produce high-quality written work product.
- Excellent written and verbal communication skills, including outstanding interpersonal and presentation skills.
- Highly advanced organizational skills with excellent attention to details, including an ability to work quickly on multiple time-sensitive matters.
Working Conditions:
- Hybrid office environment.
- Overnight travel and extended hours as needed.
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.
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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 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.
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