Associate Director, SMI Operational Reporting

The Associate Director is a key member of the Market Regulation Surveillance and Market Intelligence section’s leadership team and is responsible for the effective generation and progression of regulatory reviews conducted by the section. This role communicates and innovates with peers across the organization to facilitate sharing of surveillance intelligence to improve our ability to meet FINRA’s mission. The function of this role is to ensure that member firms are complying with applicable rules and regulations. This role administers directives and policies established by MRTS to ensure the effective and efficient functioning of assigned teams.

Essential Job Functions:

• Manages a team of individual contributors and is accountable for conducting effective performance management and meaningful career development conversations. 
• Develops and implements policies and procedures for the execution of the surveillance program to ensure progress toward the organization's goals and objectives.  
• Communicates regulatory information to internal and external stakeholders. 
• Identifies and escalates situations that may present significant regulatory risks that could adversely affect the organization and recommend remediation plans. 
• Leads staff in the review and analysis of regulatory intelligence received through a variety of sources, including internal sources, regulatory tips, customer complaints, firm regulatory filings, arbitration filings, and referrals from other regulators. 
• Manages operational aspects of their team (e.g., workflow, performance, and compliance), as well as ensuring achievement of team goals.  
• Ensures that all regulatory requests are fulfilled in a timely and accurate manner. 
• Represents FINRA in internal/external meetings. 
• Demonstrates FINRA’s values of Responsibility, Innovation, Collaboration and Expertise, while embracing FINRA’s culture of diversity and inclusion, in interactions with colleagues, management, FINRA members, and outside parties. 
• Monitors and implements solutions to achieve the section’s measures of success. 

Other Responsibilities:

• Represents FINRA at speaking engagements with various internal and external constituencies
• Leads multi-level initiatives across Regulatory Operations
• Provides subject matter expertise in regulatory area to advance FINRA and industry initiatives (e.g., CAT, Notice to Members, rule filings, market events, congressional testimony preparation)
• Remains current on industry trends, practices, and regulatory impacts

Education/Experience Requirements:

• Bachelor’s degree and a minimum of eight (8) years of experience in the securities/financial services industry; or an equivalent combination of education and experience in positions of increasing responsibilities.
• Experience supervising projects and/or mentoring junior staff.
• Demonstrated project management, process improvement, understanding of surveillance development lifecycle and goal attainment skills.
• Extensive working knowledge of FINRA, MSRB and other SRO rules and the Securities Exchange Act of 1934 and the rules and regulations thereunder.
• Extensive experience identifying potential securities rule violations.
• Demonstrated ability to lead and produce outstanding measurable results.
• Requires excellent written and verbal communications skills, including interpersonal and presentation skills.
• Strong organizational skills and excellent attention to detail.
• Advanced time management, prioritization and strong analytical skills required. 

Working Conditions:

• Hybrid work environment (remote/office) with hours which may extend beyond normal business hours.
• Travel will be required, as necessary. 

For work that is performed in CA, CO, IL, Jersey City, NJ, New York City, NY, MA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the 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.

CA: Minimum Salary $128,000, Maximum Salary $242,600

CO*: Minimum Salary $111,400, Maximum Salary $202,100

IL*: Minimum Salary $122,800, Maximum Salary $222,400
Jersey City, NJ/NYC, NY: Minimum Salary $133,700, Maximum Salary $242,600

MA: Minimum Salary $111,400, Maximum Salary $232,500

MD/Washington, DC: Minimum Salary $128,000, Maximum Salary $232,500

NJ State: Minimum Salary $122,800, Maximum $242,600

NY State: Minimum Salary $111,400, Maximum Salary $242,600

*In