Attorney in Washington, DC

Public Interest

Washington, DC

Attorney in Washington, DC

Non-practicing Attorney

No

SEO Friendly Job Title: Senior Director of Examinations - All FINRA Locations

H1: Join FINRA as a Senior Director of Examinations

H2: Lead and Strategize for Firm Group Examination Program

Organization: FINRA

Department: Member Supervision

Salary Information:

- Minimum salary ranges from $154,100 to $185,000 depending on location
- Maximum salary ranges from $301,400 to $361,700 depending on location
- Actual compensation based on factors such as skills, experience, and education
- Full pay ranges provided for consideration of growth potential

Job Requisition ID: R-009220

Job Type: Full-time

Location: Various FINRA Locations across the US

Experience Requirements:

- Bachelor's degree in related field preferred
- MBA, JD, or relevant industry certification preferred
- Significant experience in securities, compliance, or financial regulation
- Experience managing projects and/or people

Job Description:

The Senior Director of Examinations will be responsible for leading and implementing the strategic direction of the examination program for a particular firm grouping within **Members Only** This includes developing and implementing strategic plans, collaborating with Risk Monitoring counterparts, adapting to changing regulatory and business environments, and providing strategic and tactical advice to achieve firm group goals. The Senior Director will also represent FINRA in interactions with internal and external stakeholders, manage Examination Directors within their firm group, and participate in industry conferences and meetings to support FINRA's outreach initiatives.

Key Responsibilities:

- Develop and implement strategic plans and initiatives for firm group
- Collaborate with Risk Monitoring to provide feedback and suggest improvements
- Adapt to changing regulatory and business environments
- Provide strategic and tactical advice to achieve firm group goals
- Represent FINRA in interactions with internal and external stakeholders
- Manage Examination Directors within firm group
- Participate in industry conferences and meetings to support FINRA outreach initiatives
- Participate in special projects, surveys, committee assignments, and technology initiatives impacting Examinations
- Provide updates and briefings to Deputy of Examinations on current examination information
- Ensure recruitment, development, and retention of staff consistent with Member Supervision business needs

Education/Experience Requirements:

- Bachelor's Degree or equivalent combination of education and experience
- 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
- Significant experience managing projects and/or people

Knowledge Requirements:

- Functional knowledge of FINRA's nine risk fundamentals and how they relate to respective firm group
- Advanced knowledge of securities rules and regulations and how they relate to 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 respective firm group
- Advanced knowledge of industry-wide events and trends affecting respective firm group
- 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 for Specific Locations:

- 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:

- Comprehensive health, dental, and vision insurance
- Basic life, accidental death and dismemberment, supplemental life, and spouse/domestic partner and dependent life insurance
- Short- and long-term disability, long-term care, business travel accident, disability, and legal insurance
- 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 benefits that support employee wellness
- Time off and paid leave including vacation, personal, sick, volunteer service days, military leave, jury duty leave, bereavement leave, and more
- Opportunity for advancement and growth within FINRA

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
- New employees must comply with investment restrictions, including disposing of any security on FINRA's Prohibited Company List before starting employment
- Employees may only maintain securities accounts at firms that provide an electronic feed to FINRA
- Employees must also execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's nepotism policy

Search Firm Representatives:

- FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity
- A valid written agreement and task order must be in place before submitting resumes to FINRA
- Resumes submitted without a valid written agreement and task order will be deemed the sole property of FINRA

FINRA is an equal opportunity employer and values