Senior Director & RSA Advisor, Enforcement

The Senior Director and RSA Advisor (“Senior Director”) will provide expert legal and policy advice to the Enforcement Department on all aspects pertaining to Enforcement’s contractual services on behalf of the RSA Exchanges. The Senior Director understands each RSA Exchange’s rules, programs and priorities and proactively identifies and addresses risks to facilitate effective regulation in Enforcement matters on their behalf. The Senior Director is responsible for various aspects of Enforcement’s relationship with RSA Exchanges, including representing Enforcement in RSA Exchange meetings and collaborating with Regulatory Operations partners concerning Enforcement’s work on behalf of RSA Exchanges. The Senior Director is responsible for providing guidance to the staff of Enforcement in connection with matters involving RSA Exchanges and to assist the SVPs in implementing effective processes. Further, the role will advise the Head and Executive Vice President (“EVP”) of Enforcement, Enforcement’s SVPs, and other Enforcement senior leaders on all facets of FINRA’s RSA relationships and services. This role is essential to Enforcement’s’ ability to effectively execute services on behalf of the RSA Exchanges.

Essential Job Functions:

• Responsible for monitoring key aspects of Enforcement cases involving RSA Exchanges and provides periodic reporting to Enforcement’s SVPs and the Head of Enforcement.
• Develops strong relationships and interfaces with RSA Exchanges on projects and other regulatory matters on behalf of Enforcement.
• Responsible for coordinating Enforcement’s work with Market Regulation and Member Supervision in RSA-related program areas.
• Coordinates with OGC and other FINRA departments, including the FINRA team responsible for managing FINRA’s relationships with the RSA Exchanges, on oversights, contract negotiations, and periodic RSA Operations meetings on behalf of Enforcement.
• Prepares senior level RSA-related reports and periodic board reports on behalf of Enforcement.
• Represents Enforcement in external working groups with FINRA and RSA Exchanges on matters of common interest.
• Represents Enforcement in FINRA senior-level meetings concerning Enforcement’s work for RSA Exchanges.
• Attends inter-departmental meetings to assist and monitor consistency in case approach across Regulatory Operations.
• Responsible for proactively providing guidance to staff on effective handling of matters involving RSA Exchanges, policy and program changes, and rule changes involving trading and markets issues.
• Coordinates novel legal policy issues and high-profile matters related to RSA Exchanges with the SVPs and Counsel to the Head of Enforcement.
• Works with the SVPs and Counsel to the Head of Enforcement in coordinating the development of inter-departmental guidance on RSA related issues.

Education/Experience Requirements:

• Position requires a law degree and admission to the bar of the highest court of the District of Columbia or state.
• Requires a minimum of twelve years of securities-related regulatory and/or legal policy experience. Working knowledge of FINRA and FINRA RSA Exchange rules is highly preferred.
• Minimum of 5 years spent working for a regulatory entity, member firm or law firm, with direct involvement in securities enforcement matters.
• Strong collaborator and team builder, with excellent written and verbal communication, interpersonal and presentation skills.
• Demonstrated ability to independently manage collaborative projects and build consensus.
• Candidate must demonstrate superior ability to prioritize complex workload, make difficult decisions, and resolve difficult issues.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, and WA 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.

CA: Minimum Salary $171,900, Maximum Salary $351,200

CO/HI/MN/VT*: Minimum Salary $149,600, Maximum Salary $292,600

IL*: Minimum Salary $164,500, Maximum Salary $322,200

Jersey City, NJ/NY, NY: Minimum Salary $179,600, Maximum Salary $351,200

MD/Washington, DC: Minimum Salary $171,900, Maximum Salary $336,600

WA: Minimum Salary $149,600, Maximum Salary $336,600

*Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides