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Attorney in San Francisco, CA

FINRA. Dec 11,2019 Nov 14,2019 Location USA San Francisco CA
This job is expired...

Public Interest

Attorney

Min 20 yrs required

Profile

Executive Vice President, National Cause & Financial Crimes Detection Programs Duties: Create and foster environment of collaboration and information sharing to quickly and effectively connect relevant information to assess and address risks across these programs and others as appropriate. Leverage data and technology to improve the effectiveness and efficiency of programs. Proactively evolve programs to address changes in the industry, financial crimes and fraud landscape, and risk environment. Oversee that at a minimum the AML, Cybersecurity/IT, and Senior Helpline teams advise on, and assist with, examinations and risk monitoring, monitor and address industry developments, weigh in on training needs, and proactively develop communications and tools to help member firms address associated compliance requirements. Develop and maintain strong working relationships with leaders throughout Member Supervision, Enforcement and other departments within, the SEC, and other external regulatory and law enforcement agencies. Oversee the timely referral of matters to Enforcement and external regulatory and law enforcement agencies. Create management reporting that tracks key operational metrics and identifies trends and patterns. Foster and promote an inclusive and innovative workplace, one that empowers and supports the workforce. Create and maintain a strongly collaborative working environment and improve flow of information to risk monitoring and/or examination staff to inform a more comprehensive view of a member firm and its associated persons. Create training or knowledge sessions for examiners and risk monitoring personnel focusing on fraud detection and investigation techniques. Attract, develop and retain top talent. Serve on internal and external committees and task forces. Represent at conferences and other public speaking events. Create and update presentations, reports, project plans and metrics.

Qualification and Experience

Requirements: Bachelor’s degree, preferably with a major in Economics, Finance or Business. MBA, JD Degree or other graduate degree preferred. 20+ years’ experience in the financial services industry or regulation, or other relevant similarly situated organizations, in positions of increasing responsibilities. Substantial knowledge of, and experience with, the regulation and operation of the U.S. broker-dealers, as well as familiarity with the broader landscape of financial regulation. Strong working knowledge of anti-money laundering and cybersecurity risks and programs and the intersection with fraud. Substantial knowledge of, and experience with, identifying and investigating potential fraud and violative conduct. Strategic leader with a proven ability to focus on execution. Excellent leadership and management skills, including the proven ability to attract, retain and develop talent. Proven ability to deal constructively and effectively with divergent opinions in order to reach timely, informed decisions. Proven record of acting independently in an unstructured environment to identify and address challenges, seize opportunities, develop new initiatives, and proactively strengthen existing programs. Strong collaborator and team builder, with excellent written and verbal communication, interpersonal, and presentation skills. Exceptional organizational skills, with an ability to administer multiple complex assignments concurrently and execute against tight deadlines. Proven record of making informed risk based decisions in a timely manner. Working Conditions: Work is normally performed in an office environment. Frequent travel and extended hours are required.

Additional info

Ref-000269. Send a cover letter and resume. A writing sample may be required as part of the submission.

Company info