Director MS Operations Procedures and Standards - All FINRA Locations
Director MS Operations Procedures and Standards - All FINRA Locations
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Job Description
Essential Job Functions:
- Provide a robust operational risk framework within First and Second Lines of Defense.
- Spearheading operational risk event/incident remediations and escalations key procedural control assessments refinements and monitoring.
- Oversee the development and implementation of procedures and technology necessary to address ongoing needs of the Program across all Firm Groups.
- Lead efforts to develop maintain and continually enhance Compass procedures Guidance as well as associated job aid examples relating to the program.
- Periodically assess practices and determine if a need exists for a procedure to be developed or updated.
- Lead the effort to identify prioritize and resolve where warranted areas of inconsistent procedural application within the program.
- Utilize an inclusive process to determine a course of action correcting the area of concern or record the reasoning for retaining the inconsistency going forward
- Work with MS Business Readiness Training and/or Communications groups to implement corrective action and receive feedback on effectiveness.
- Develop and support the strategic leadership approach within the program.
- Maintains strong working knowledge of developments in the industry and works with management and other departments as needed to evolve the program to address such changes.
- Develop recommendations for corrective action implementation plans across the program in connection with oversights and lead implementation efforts.
- Coordinate with other departments in preparing responses talking points and document productions relating to oversights access (e.g. SEC states) and ad hoc information requests relating to the program.
- Respond to inquiries from and create and implement resolution plans for Quality Assurance Internal Audit and FINRA CCO exams/inquiries and related findings and conclusions.
- Lead coordinated effort with Data Analytics to continuously develop implement and improve periodic trend and ad hoc reporting including but not limited to monthly program and/or grouping reports for the program.
Education/Experience Requirements:
- Bachelors Degree or an equivalent combination of education and experience required. Major in Accounting Finance Economics Business Administration or related fields preferred.
- MBA JD other graduate degree and/or relevant industry certification(s) preferred
- Significant securities compliance or financial regulatory experience
- Prior experience in FINRAs Exam and/or Risk Monitoring program preferred
- Advanced analytical skills and experience in the financial industry
- Demonstrated experience relating to all inherent industry risks (i.e. Operational Sales Practice Fraud and Deception Money Laundering Accuracy of Regulatory Capital Credit Market Liquidity and/or Segregation of Client Assets
- Significant experience managing projects and/or people
Knowledge Requirements:
- Expert knowledge of FINRAs risk hierarchy
- Expert knowledge of securities rules and regulations
- Expert knowledge of firm business models business lines customer bases products and services
- Expert knowledge of FINRA departments and their mandates
Skill Requirements:
- Selfstarter and able to administer very complex assignments concurrently including unstructured assignments that require autonomy and independent judgement
- Advanced Verbal and Written Communication skills
- IntermediatetoAdvanced level proficiency in Microsoft Excel Word and PowerPoint Advanced ability to manage time effectively
For work that is performed in CA CO HI MN VT IL Jersey City NJ New York City NY MA WA 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 candidates skill set level of experience education and internal peer compensation comparisons.
CA: Minimum Salary $150600 Maximum Salary $305000
CO/HI/MN/VT*: Minimum Salary $131100 Maximum Salary $254000
IL*: Minimum Salary $144000 Maximum Salary $279500
Jersey City NJ/NYC NY: Minimum Salary $157300 Maximum Salary $305000
MA/WA: Minimum Salary $131100 Maximum Salary $292300
MD/Washington DC: Minimum Salary $150600 Maximum Salary $292300
NJ State: Minimum Salary $144000 Maximum $305000
NY State: Minimum Salary $131100 Maximum Salary $305000
*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 midpoint of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.
#LIHybrid
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.
Please note: If the Apply Now button on a job board posting does not take you directly to the FINRA Careers site enter www.finra/careers into your browser to reach our site directly.
FINRA strives to make our career site accessible to all users. If you need a disabilityrelated accommodation for completing the application process please contact FINRAs Employee Relations team at 240.386.4865 or by email atPlease note that this process is exclusively for inquiries regarding application accommodations.
Employees may be eligible for a discretionary bonus in addition to base pay. Nonexempt employees are also eligible for overtime pay in accordance with federal state or local law. As part of its dedication to employee wellness FINRA provides comprehensive health dental and vision insurance. Additional insurance includes basic life accidental death and dismemberment supplemental life spouse/domestic partner and dependent life and spouse/domestic partner and dependent accidental death and dismemberment short and longterm disability longterm care business travel accident disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRAfunded retirement contribution tuition reimbursement commuter benefits and other benefits that support employee wellness such as adoption assistance backup family care surrogacy benefits employee assistance and wellness programs.
Time Off and Paid Leave*
FINRA encourages its employees to focus on their health and wellness in many ways including through a generous timeoff program of 15 days of paid time off 5 personal days and 9 sick days unless otherwise required by law (all prorated in the first year). Additionally we are proud to support our communities by providing two volunteer service days (based on fulltime schedule). Other paid leave includes military leave jury duty leave bereavement leave voting and election official leave for federal state or local primary and general elections care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Fulltime employees receive nine paid holidays.
*Based on fulltime schedule
Important Information
FINRAs 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 brokerdealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Codes investment and securities account restrictions and new employees must comply with those investment restrictionsincluding disposing of any security issued by a company on FINRAs Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentby 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 (efeed) of data to FINRA and must move securities accounts from other securities firms to a firm that provides an efeed within three months of beginning employment.
You can read more about these restrictions here.
As standard practice employees must also execute FINRAs Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the companys 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 strives to make our career site accessible to all users. If you need a disabilityrelated accommodation for completing the application process please contact FINRAs Employee Relations team at 240.386.4865 or by email atPlease note that this process is exclusively for inquiries regarding application accommodations.
All qualified applicants will receive consideration for employment without regard to age citizenship status color disability marital status national origin race religion sex veteran status or any other classification protected by federal state or local laws.
FINRA abides by the requirements of 41 CFR 60741.5(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 60300.5(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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Required Experience:
Director
Employment Type
Full-Time
