Associate Director, MS Operations, Procedures and Standards - Any FINRA Location

Advance centralization, operational efficiencies, and information sharing, while ensuring the sound management of process, policy and procedures, in alignment with Regulatory Operations (RegOps) priorities and strategy.

Essential Job Functions:

• Manages the establishment of centralized operational processes to increase efficiency, minimize duplication, and ensure sufficient controls are in place.
• Drive operational objectives and develop and implement programmatic Operational Metrics to measure performance against those objectives.
• Oversees the Regulatory Change process for a subset of business units to ensure impact assessments are performed and necessary builds/ updates occur.
• Manages special projects and initiatives including, but not limited to internal and external requests.
• Oversees programmatic Business Case idea generation, development, and tracking.
• Supervises the development of Policies, Procedures and Standards and the updating/maintenance of content within various Systems of Record.
• Acts as a primary policy decision maker and participates as a lead on applicable Governance Committees.
• Serves as a Fusion Risk Lead and/or Operational Advisor on large scale initiatives.
• Facilitates departmental wide meetings to communicate updates and train staff on programmatic changes to processes, tools, controls, technology, policy/procedures.
• Partnering and liaising with senior leaders across the enterprise and external stakeholders to accomplish strategic objectives, including, but not limited to issue remediation.
• Makes recommendations to the Head and/or Deputy Head of Member Supervision OPS that support development of the strategic direction of operations within the department.
• Serves as stakeholder on governance forums, and where necessary, a proxy for the Head and/or Deputy Head of Member Supervision OPS.
• Manages a team of Member Supervision Operations, Procedures and Standards (OPS) associates.

Education/Experience Requirements:

• Bachelor’s degree in business or related field and a minimum of five (5) years of directly related securities experience, or an equivalent combination of education and experience.
• Advanced securities, compliance or financial regulatory experience
• Prior experience in FINRA’s Exam and/or Risk Monitoring program preferred
• Experience with the establishment of policies and procedures
• Experience identifying and remediating control environment issues
• Experience managing projects and/or people preferred
• Advanced knowledge of FINRA's risk hierarchy
• Advanced knowledge of FINRA departments and their mandates
• Intermediate-to-Advanced level proficiency in Microsoft Excel, Word, and PowerPoint

Working Conditions:

• Work is normally performed in an office environment at FINRA.

For work that is performed in CA, Washington, DC, CO, HI, New York, NY, WA and MD the chart below outlines the proposed salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons.

California: Minimum Salary $106,400, Maximum Salary $200,200

Washington, DC/Maryland: Minimum Salary $106,400 Maximum Salary $191,800

Colorado/Hawaii: Minimum Salary $92,500, Maximum Salary $166,800

New York, NY: Minimum Salary $111,000, Maximum Salary $200,200

Washington State: Minimum Salary $92,500, Maximum Salary $191,800

#LI-Hybrid

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

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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Employees may be eligible for a discretionary bonus in addition to base pay. FINRA provides comprehensive health, dental and vision insurance.  Additional insuran