Attorney in New York City, NY

Public Interest

New York City, NY

Attorney in New York City, NY

Non-practicing Attorney

No

Senior Director, Examinations - All FINRA Locations

The Senior Director, Examinations will lead and implement the strategic direction of the examination program for a particular firm grouping at **Members Only** This role will develop and implement strategic plans and initiatives, collaborate with Risk Monitoring counterparts, adapt to changing regulatory and/or business environments, provide strategic and tactical advice, and represent FINRA and Member Supervision in interactions with internal and external constituencies. The Senior Director will also manage Examination Directors, participate in industry conferences and meetings, and provide updates and briefings to the Deputy of Examinations. Additionally, the Senior Director will be responsible for recruiting, developing, and retaining staff within their firm group.

- Job Title: Senior Director, Examinations
- Organization: FINRA
- Location: Various locations across the United States
- Experience: Significant securities, compliance or financial regulatory experience
- Education: Bachelor's Degree or equivalent, MBA/JD/other graduate degree and/or relevant industry certifications preferred
- Job Type: Full-time

Responsibilities:

- Develop and implement strategic plans and initiatives for their firm group
- Collaborate with Risk Monitoring counterparts to provide feedback, share trends, and suggest improvements
- Adapt to changing regulatory and/or business environments of their firm group
- 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 their 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
- Ensure 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
- MBA, JD, other graduate degree and/or relevant industry certification(s) preferred
- Significant securities, compliance or financial regulatory experience
- Significant experience managing projects and/or people
- Functional knowledge of FINRA's nine risk fundamentals and how they relate to their respective firm group
- Advanced knowledge of securities rules and regulations and how they relate to their 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 their respective firm group
- Advanced knowledge of industry-wide events and trends affecting their respective firm group
- Expert knowledge of FINRA departments and their mandates.

Skills:

- 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:

- 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.

Benefits:

- Full pay ranges provided for consideration of growth potential
- Comprehensive health, dental, and vision insurance
- Additional insurance options, including life, accidental death and dismemberment, supplemental life, short- and long-term disability, and more
- Immediate participation and vesting in 401(k) plan with company match
- Eligibility for participation in additional FINRA-funded retirement contribution
- Tuition reimbursement, commuter benefits, and other wellness programs
- Time off and paid leave, including 15 days paid time off, 5 personal days, and 9 sick days (pro-rated in first year)
- Two volunteer service days for community involvement
- Other paid leave options, including military leave, jury duty leave, bereavement leave, and more
- Nine 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 their role as a securities regulator
- Employees must disclose all brokerage accounts and authorize their broker-dealers to provide duplicate statements to FINRA
- Accounts are subject to investment and securities account restrictions, and new employees must comply with these restrictions before beginning employment
- Employees may only maintain securities accounts at firms providing an electronic feed to **Members Only**

FINRA is an equal opportunity employer and strives to make its career site accessible to all users. If a disability-related accommodation is needed to complete the application process, please contact FINRA's Employee Relations team. 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 ) and 41 CFR ).

Senior Director, Examinations - All FINRA Locations

The role of Senior Director, Examinations at FINRA is a crucial one, responsible for leading and implementing the strategic direction of the examination program for a specific firm grouping. This position requires someone with significant experience