- In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match.
- You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits.
- Lead and manage a team of experienced senior professionals who are responsible for assessing and investigating conduct suspected of violating FINRA and federal securities rules and regulations, including fraud and other financial crimes. Investigations may involve a member firm, its associated persons and/or the investing public. Areas of responsibility include:
- Front End Cause
- National Cause Program, including the Senior Help Line
- Office of the Whistleblower
- Insider Trading and PIPEs surveillance
- Fraud surveillance
- AML Specialist Team
- Cybersecurity Specialist Team
- Create and foster environment of collaboration and information sharing to quickly and effectively connect relevant information to assess and address risks across these programs and others as appropriate.
- Leverage data and technology to improve the effectiveness and efficiency of programs.
- Proactively evolve programs to address changes in the industry, financial crimes and fraud landscape, and risk environment.
- Oversee that at a minimum the AML, Cybersecurity/IT, and Senior Helpline teams advise on, and assist with, examinations and risk monitoring, monitor and address industry developments, weigh in on training needs, and proactively develop communications and tools to help member firms address associated compliance requirements.
- Develop and maintain strong working relationships with leaders throughout Member Supervision, Enforcement and other departments within FINRA, the SEC, and other external regulatory and law enforcement agencies.
- Oversee the timely referral of matters to Enforcement and external regulatory and law enforcement agencies.
- Create management reporting that tracks key operational metrics and identifies trends and patterns.
- Foster and promote an inclusive and innovative workplace, one that empowers and supports the workforce.
- Create and maintain a strongly collaborative working environment and improve flow of information to risk monitoring and/or examination staff to inform a more comprehensive view of a member firm and its associated persons.
- Create training or knowledge sessions for examiners and risk monitoring personnel focusing on fraud detection and investigation techniques.
- Attract, develop and retain top talent.
- Serve on internal and external committees and task forces.
- Represent FINRA at conferences and other public speaking events.
Other Responsibilities:
- Create and update presentations, reports, project plans and metrics.
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Education/Experience Requirements:
- Bachelor’s degree, preferably with a major in Economics, Finance or Business. MBA, JD or other graduate degree preferred.
- Minimum of twenty years’ experience in the financial services industry or regulation, or other relevant similarly situated organizations, in positions of increasing responsibilities.
- Substantial knowledge of, and experience with, the regulation and operation of the U.S. broker-dealers, as well as familiarity with the broader landscape of financial regulation.
- Strong working knowledge of anti-money laundering and cybersecurity risks and programs and the intersection with fraud.
- Substantial knowledge of, and experience with, identifying and investigating potential fraud and violative conduct.
- Strategic leader with a proven ability to focus on execution.
- Excellent leadership and management skills, including the proven ability to attract, retain and develop talent.
- Proven ability to deal constructively and effectively with divergent opinions in order to reach timely, informed decisions.
- Proven record of acting independently in an unstructured environment to identify and address challenges, seize opportunities, develop new initiatives, and proactively strengthen existing programs.
- Strong collaborator and team builder, with excellent written and verbal communication, interpersonal, and presentation skills.
- Exceptional organizational skills, with an ability to administer multiple complex assignments concurrently and execute against tight deadlines.
- Proven record of making informed risk based decisions in a timely manner.
Working Conditions:
- Work is normally performed in an office environment.
- Frequent travel and extended hours are required.
To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.
The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.
Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter http://www.finra.org/careers into your browser to reach our site directly.
FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.
In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.
Important Information
FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.
As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.
Search Firm Representatives
Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.
FINRA is an Equal Opportunity and Affirmative Action Employer
All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.
FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.
FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.
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