This position is an experienced individual contributor in Member Supervision Operations, Procedures and Standards (MS OPS), who works independently with minimal supervision to identify, assess, develop, implement, and maintain operations, procedures, standards, and reporting. This role will lead regulatory initiatives by partnering with key stakeholders, evaluate the program for areas of need/improvement, and resolve complex operational issues. This role will have a focus on the review of subordinated loans and secured demand notes, including FOCUS reconciliation analyses and knowledge of Appendix D of the Net Capital Rule.
Essential Job Functions:
- Participates and/or leads the regulatory change process for a subset of business units to ensure impact assessments are performed and necessary builds/updates occur.
- Partners with key stakeholders to enhance and/or develop new processes, controls, or procedures.
- Knowledge of securities industry rules, regulations and guidelines required specifically SEA Rule 15c3-1.
- Partners with external stakeholders and senior leaders across the enterprise to accomplish strategic objectives, including, but not limited to issue remediation.
- Participates and/or leads the establishment of centralized operational processes to increase efficiency, minimize duplication, and ensure sufficient controls are in place.
- Assists with the development and implementation of departmental specific policies, procedures, and guidance.
- Maintains advanced working knowledge of departmental functions and industry developments.
- Facilitates departmental wide meetings to communicate updates and train staff on programmatic changes to processes, tools, controls, technology, policy/procedures.
- Participates and, where necessary, acts as a lead, on applicable Governance Committees.
- Cultivates strong working relationships across Member Supervision, throughout FINRA, and with other stakeholders, including the SEC, states, other regulatory agencies, and the industry.
- Develops and maintains content on Regulatory Operations systems and internal websites.
- Independently produces and disseminates reporting to key stakeholders.
- In addition to providing support, actively participates in the development and maintenance of operational metrics, providing insight into key performance and key risk indicators for senior management.
- Leads special projects and ad hoc initiatives including, but not limited to internal and external requests.
- Coaches more junior colleagues in techniques, processes, and responsibilities.
- Models inspirational, accountable, and supportive leadership, develops and empowers talent at all levels, fosters a diverse and inclusive culture, and creates an environment of strong employee engagement.
Education/Experience Requirements:
- Bachelor's Degree or an equivalent combination of education and experience required. Major in Accounting, Finance, Economics, Business Administration, graduate degree (MBA or JD) and/or relevant industry certification(s) a plus.
- Demonstrated leadership skills within accounting, audit, legal, compliance or related field(s)
Knowledge Requirements:
- Demonstrated strong/expert working knowledge of securities industry rules, regulations and related guidelines based on prior work experience
- Proficiency of Microsoft Office suite of applications
Skills Requirements:
- Excellent interpersonal, negotiation, and diplomacy skills, with a high comfort level in relations with FINRA senior management teams
- Establish and maintain effective working relationships at all levels inside and outside the organization
- Excellent leadership skills, including the ability to deal effectively with people, to make decisions, and find solutions, to encourage and support change, and to deal with problem situations involving member firms and individuals in situations
- Excellent written and verbal communication skills, including interpersonal skills and presentation skills
- Must be self-starter and able to administer a number of complex assignments concurrently, including unstructured assignments that require autonomy and independent judgment
- Work independently, possess strong project management and organizational skills
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 $109,600, Maximum Salary $206,200
CO/HI/MN/VT*: Minimum Salary $95,300, Maximum Salary $171,800
IL*: Minimum Salary $104,900, Maximum Salary $189,400
Jersey City, NJ/NYC, NY: Minimum Salary $114,300, Maximum Salary $206,200
MA/WA: Minimum Salary $95,300, Maximum Salary $197,600
MD/Washington, DC: Minimum Salary $109,600 Maximum Salary $197,600
NJ State: Minimum Salary $104,900, Maximum $206,200
NY State: Minimum Salary $95,300, Maximum Salary $206,200
*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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