Attorney in San Francisco, CA

Public Interest

San Francisco, CA

Attorney in San Francisco, CA

Non-practicing Attorney

No

Senior Director, Examinations - All FINRA Locations

- Organization: FINRA
- Job Title: Senior Director, Examinations
- Experience: Significant experience in securities, compliance, or financial regulatory field and managing projects/people
- Job Type: Full time
- Locations: New York, NY (Job Posting), Jersey City, NJ (Job Posting), Jericho, NY (Job Posting), Denver, CO (Job Posting), Dallas, TX (Job Posting), Boston, MA (Job Posting), Boca Raton, FL (Job Posting), Woodbridge, NJ (Job Posting), Washington, DC (Job Posting), Chicago (North Wacker Drive), San Francisco, CA (Job Posting), Rockville, MD (Job Posting), Philadelphia, PA (Job Posting), Los Angeles, CA (Job Posting)

Responsibilities:

- Develop and implement strategic plans and initiatives for a specific firm grouping
- Collaborate with Risk Monitoring counterparts to provide feedback, share trends, and suggest improvements
- Adapt to changing regulatory and business environment of firm grouping
- Provide strategic and tactical advice to achieve firm grouping goals
- Represent FINRA and Member Supervision in interactions with internal and external constituencies
- Manage Examination Directors within firm grouping
- 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 on current examination information to the Deputy of Examinations
- Ensure recruitment, development, and retention of Examination team staff aligned with Member Supervision business needs

Education/Experience Requirements:

- Bachelor's Degree in Accounting, Finance, Economics, Business Administration, or related field (MBA, JD, other graduate degree and/or relevant industry certification(s) preferred)
- Significant experience in securities, compliance, or financial regulatory field
- Significant experience managing projects and/or people

Knowledge Requirements:

- Functional knowledge of FINRA's nine risk fundamentals and their relation to respective firm grouping
- Advanced knowledge of securities rules and regulations and their relation to respective firm grouping
- Advanced knowledge of firm grouping business models, business lines, customer bases, products, and services
- Advanced knowledge of rule changes and interpretations and their relation to respective firm grouping
- Advanced knowledge of industry-wide events and trends affecting respective firm grouping
- Expert knowledge of FINRA departments and their mandates

Skill Requirements:

- Expert ability to recognize and understand the relationship and impact between regulatory areas
- Expert ability to effectively liaise with internal and external parties
- Expert ability to identify and prioritize risk
- Expert interpersonal and leadership skills
- Expert ability to inspire and motivate direct reports
- Expert relationship building skills
- Expert ability to make timely decisions

Salary Information:

- Salary ranges vary based on location and various factors such as skill set, level of experience, education, and internal peer compensation comparisons.
- For work 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, salary ranges are as follows:
- CA: Minimum Salary $177,100, Maximum Salary $361,700
- CO/HI/MN/VT*: Minimum Salary $154,100, Maximum Salary $301,400
- IL*: Minimum Salary $169,400, Maximum Salary $331,900
- Jersey City, NJ/NYC, NY: Minimum Salary $185,000, Maximum Salary $361,700
- MA/WA: Minimum Salary $154,100, Maximum Salary $346,700
- MD/Washington, DC: Minimum Salary $177,100, Maximum Salary $346,700
- NJ State: Minimum Salary $169,400, Maximum $361,700
- NY State: Minimum Salary $154,100, Maximum Salary $361,700
- *Including positions performed outside the state but reporting to an office or manager in that state.
- Candidates can expect salary offers ranging from the minimum to the mid-point of the salary range.

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

Benefits:

- Comprehensive health, dental, and vision insurance
- Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment insurance
- Short- and long-term disability, long-term care, business travel accident, disability, and legal insurance
- 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 supporting employee wellness such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs

Time Off and Paid Leave:

- 15 days of paid time off, 5 personal days, and 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), and childbirth and parental leave (available after 90 days of employment)
- 9 paid holidays (based on full-time schedule)

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 must disclose all brokerage accounts they maintain and those in which they control trading or have a financial interest (including trust accounts), and authorize their broker-dealers to provide FINRA with duplicate statements for all accounts.
- All accounts are subject to the Code's investment and securities account restrictions, and new employees must comply with these restrictions