Senior Vice President – National Cause Program

The individual in this senior level role will be a key member of Member Supervision’s National Cause & Financial Crimes Detection Programs leadership team and provide critical leadership in overseeing the intake, risk assessment, and investigation of cause matters involving potential fraud or other serious misconduct from various sources including regulatory filings, investor complaints, tips, referrals, and other regulatory sources. This individual is also responsible for leading the consolidation of the three separate but related Cause functions into a cohesive unit and streamlining the existing triage, preliminary review and investigation processes to increase efficiencies and enable greater national consistency to handling cause matters.

• Lead and manage a team of experienced professionals who are responsible for reviewing and investigating cause matters as expediently as practical given the regulatory significance, with a focus on aligning staff talent, knowledge and skills with the subject and complexity of the matter.
• Develop 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 as appropriate.
• Streamline the intake, risk assessment, and investigative processes handled by the groups within the National Cause Program. Lead the development of an oversight process to assess consistency, timeliness, and quality of investigations, referrals and closure of matters.
• Create management reporting that tracks key operational metrics including matter types reviewed, matter disposition, and referrals to other FINRA departments, the SEC or other regulatory agencies, and create reporting that identifies emerging regulatory trends and patterns.
• Create and maintain a strongly collaborative working environment and improve the 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 risk monitoring and examination personnel that focuses on fraud detection and investigation techniques.
• Attract, develop and retain top talent.
• Foster and promote an inclusive and innovative workplace and empower and support the workforce.
• 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.

Education/Experience Requirements:

• Bachelor’s degree, preferably with a major in Economics, Finance or Business. MBA, JD or other graduate degree preferred.
• Minimum of fifteen years’ experience in the financial services industry or regulation, at FINRA, or other similarly situated organizations, in positions of increasing responsibilities.
• Substantial knowledge of, and experience with, the regulation and operation of U.S. broker-dealers, as well as familiarity with the broader landscape of financial regulation.
• Substantial knowledge of, and experience with, identifying and investigating potentially fraudulent and violative activity.
• 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.

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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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