Job Title: Senior Director, Examinations - All FINRA Locations
Experience: Significant securities, compliance or financial regulatory experience required
Salary Range: $154,100 - $361,700 (depending on location and qualifications)
Employment Type: Full Time
Location: Various FINRA Locations (see job posting for specific locations)
H1: Senior Director, Examinations - Lead and Implement Strategic Direction for FINRA Locations
H2: Join Our Team and Make a Difference in the Financial Industry
Introduction:
FINRA, the Financial Industry Regulatory Authority, is currently seeking a Senior Director of Examinations to join our team and lead the strategic direction of the examination program for a particular firm grouping. This is a full time position located in various FINRA locations across the country.
Job Summary:
As the Senior Director of Examinations, you will be responsible for developing and implementing strategic plans and initiatives for your firm group, collaborating with Risk Monitoring counterparts, adapting to changing regulatory and business environments, providing strategic and tactical advice, and representing FINRA in interactions with internal and external constituencies. You will also manage a team of Examination Directors within your firm group and participate in industry conferences and meetings in support of FINRA outreach initiatives. Additionally, you will be responsible for participating in special projects, surveys, committee assignments, and technology initiatives impacting Examinations.
Key Responsibilities:
- Develop and implement strategic plans and initiatives for the firm group
- Collaborate with Risk Monitoring counterparts to provide feedback, share trends, and suggest improvements
- Adapt to changing regulatory and business environments
- Provide strategic and tactical advice to achieve firm group goals
- Represent FINRA and Member Supervision in interactions with internal and external constituencies
- Manage Examination Directors within the firm group
- Participate in industry conferences and meetings in support of FINRA outreach initiatives
- Participate in special projects, surveys, committee assignments, and technology initiatives impacting Examinations
- Provide updates, key issues, and briefings to the Deputy of Examinations on current examination information
- Ensure the Examination team is recruiting, developing, and retaining staff consistent with Member Supervision business needs
Requirements:
- Bachelor's Degree or equivalent combination of education and experience required
- Major in Accounting, Finance, Economics, Business Administration or related fields preferred
- MBA, JD, other graduate degree and/or relevant industry certification(s) preferred
- Significant securities, compliance or financial regulatory experience required
- Significant experience managing projects and/or people
Knowledge and Skills:
- Functional knowledge of FINRA's nine risk fundamentals and how they relate to the respective firm group
- Advanced knowledge of securities rules and regulations and how they relate to the respective firm group
- Advanced knowledge of firm group business models, business lines, customer bases, products and services
- Advanced knowledge of rule changes and interpretations and how they relate to the respective firm group
- Advanced knowledge of industry wide events and trends affecting the respective firm group
- Expert knowledge of FINRA departments and their mandates
- Ability to recognize and understand the relationship and impact between regulatory areas
- Effective liaison with internal and external parties
- Ability to identify and prioritize risk
- Interpersonal and leadership skills
- Ability to inspire and motivate direct reports
- Relationship building skills
- Ability to make timely decisions
Salary Information:
For work performed in certain locations, the salary range is as follows:
- California: Minimum Salary $177,100, Maximum Salary $361,700
- Colorado/Hawaii/Minnesota/Vermont: Minimum Salary $154,100, Maximum Salary $301,400
- Illinois: Minimum Salary $169,400, Maximum Salary $331,900
- Jersey City, NJ/New York City, NY: Minimum Salary $185,000, Maximum Salary $361,700
- Massachusetts/Washington: Minimum Salary $154,100, Maximum Salary $346,700
- Maryland/Washington, DC: Minimum Salary $177,100, Maximum Salary $346,700
- New Jersey State: Minimum Salary $169,400, Maximum Salary $361,700
- New York State: Minimum Salary $154,100, Maximum Salary $361,700
*Note: 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. Candidates can expect salary offers that range from the minimum to the mid-point of the salary range.
Benefits:
As part of our dedication to employee wellness, FINRA offers a comprehensive benefits package, including:
- Health, dental, and vision insurance
- Basic life, accidental death and dismemberment, and supplemental life insurance
- Short- and long-term disability insurance
- Long-term care insurance
- Business travel accident insurance
- 401(k) plan with company match
- Additional FINRA-funded retirement contribution
- Tuition reimbursement
- Commuter benefits
- 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 values work-life balance and offers a generous time-off program, including:
- 15 days of paid time off
- 5 personal days
- 9 sick days (all pro-rated in the first year)
- 2 volunteer service days (based on full-time schedule)
- Military leave
- Jury duty leave
- Bereavement leave
- Voting and election official leave
- Care of a family member leave (available after 90 days of employment)
- Childbirth and parental leave (available after 90 days of employment)
- 9 paid holidays (based on full-time schedule)
Important Information:
As a securities regulator, FINRA has certain restrictions and requirements for its employees. These include restrictions on investments and financial disclosures. Employees are required to disclose all brokerage accounts and authorize their broker-dealers to provide FINRA with duplicate
