Attorney in New York City, NY

Public Interest

New York City, NY

Attorney in New York City, NY

Non-practicing Attorney

No

Director, MS Operations, Procedures and Standards - All FINRA Locations

Reporting directly to the Vice President of Member Supervision Operations, Procedures and Standards, the Director will provide strategic leadership and guidance to establish procedures and standards across the program at all FINRA locations. This role will also involve collaborating with various groups to conduct reviews of the program, including the SEC, Internal Audit, and Quality Assurance. The Director will also be responsible for developing controls and metrics to monitor program execution and effectiveness.

Salary Information:

- Based on location, actual compensation is determined by various factors, including skill set, level of experience, education, and internal peer compensation comparisons.
- Salary ranges are provided for each location and may vary based on factors mentioned above.
- Candidates can expect salary offers within the minimum to mid-point of the salary range.
- Full pay ranges are provided to allow for consideration of growth potential while at **Members Only**

SEO Friendly Job Title: Director, MS Operations, Procedures and Standards

H1: Join FINRA as Director, MS Operations, Procedures and Standards

H2: Strategic Leadership and Guidance for FINRA's Member Supervision Operations

Key Responsibilities:

- Develop and maintain a robust operational risk framework within First and Second Lines of Defense.
- Oversee operational risk events/incidents, key procedural control assessments, and refinements.
- Lead the development and implementation of procedures and technology to support the program across all Firm Groups.
- Manage the development and maintenance of Compass procedures, guidance, and job aid examples related to the program.
- Assess practices periodically and determine the need for procedure development or updates.
- Identify and prioritize areas of inconsistent procedural application within the program and take corrective action.
- Collaborate with MS Business Readiness, Training, and Communications groups to implement corrective action plans.
- Provide strategic leadership and stay updated on industry developments to evolve the program accordingly.
- Make recommendations for corrective action plans and collaborate with other departments in preparing responses to oversights and ad hoc information requests.
- Respond to inquiries and implement resolution plans for Quality Assurance, Internal Audit, and FINRA CCO exams/inquiries.
- Work with Data Analytics to develop, implement, and improve periodic, trend, and ad hoc reporting for the program.

Education/Experience Requirements:

- Bachelor's Degree, MBA, JD, other graduate degree, or relevant industry certification(s).
- Significant experience in securities, compliance, or financial regulation.
- Prior experience in FINRA's Exam and/or Risk Monitoring program preferred.
- Advanced analytical skills and experience in the financial industry.
- Demonstrated experience with various industry risks (operational, sales practice, fraud, money laundering, etc.).
- Significant experience managing projects and/or people.

Knowledge Requirements:

- Expert knowledge of FINRA's risk hierarchy.
- Expert knowledge of securities rules and regulations.
- Expert knowledge of firm business models, business lines, customer bases, products, and services.
- Expert knowledge of FINRA departments and their mandates.

Skill Requirements:

- Self-starter with the ability to manage complex assignments concurrently, including unstructured tasks that require autonomy and independent judgement.
- Excellent verbal and written communication skills.
- Intermediate-to-advanced proficiency in Microsoft Excel, Word, and PowerPoint.
- Strong time management skills.

Full Time Position

This is a full-time position with a posting date of 2 days ago.

Job Requisition ID: R-009155

Locations:

- Rockville, MD
- Jersey City, NJ
- Jericho, NY
- Denver, CO
- Dallas, TX
- Boston, MA
- Boca Raton, FL
- Woodbridge, NJ
- Washington, DC
- Chicago (North Wacker Drive)
- San Francisco, CA
- Philadelphia, PA
- New York, NY
- Los Angeles, CA

Please note that this role is open to candidates in the following states: CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State, and NY State.

Time Type:

Full Time

Salary Information:

- 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 Salary $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.

Benefits:

- Comprehensive health, dental, and vision insurance.
- Basic life, accidental death and dismemberment, supplemental life, and disability insurance.
- Immediate participation and vesting in a 401(k) plan with company match.
- Tuition reimbursement, commuter benefits, and other wellness programs.
- Generous time-off program including paid time off, personal days, sick days, and volunteer service days.
- Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, and childbirth and parental leave (available after 90 days of employment).
- Full-time employees receive nine paid holidays.

Important Information:

- FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures related to our role as a securities regulator.
- Employees may only maintain securities accounts at firms that provide an electronic feed of data to FINRA and must move accounts from other firms within three months of employment.
- Employees must also