Director, Risk Monitoring

Essential Job Functions:

• Actively supervises the activities of Risk Monitoring Analysts in their conduct of risk monitoring activities front-line responsibility for timeliness precision and quality of risk assessments related reports intelligence and regulatory responses shared with Risk Monitoring Examinations and other departments for a portfolio of firms within an Organizational Business Model or Business Segment.
• Oversees development of risk-based Regulatory Responses that address identified risks and evaluation of the adequacy of firm corrective actions to assist with Examination Strategy.
• Implements and provides direction on the goals and objectives for a risk monitoring program specific to firms in an Organizational Business Model or Business Segments Risk Monitoring team effectively collaborates and coordinates with aligned Risk Monitoring leadership while managing activities of downline staff to ensure the goals and objectives are met.
• Ensures exam strategy includes applicable risks and that corrective action is taken.
• Day-to-day management directing completion and outcome of continuous real-time risk identification for a portfolio of member firms. Ensures the accurate prioritization risk through anunderstanding of firm business activities the risks associated with those business activities and the controls in place to mitigate those risks; oversees development and execution of regulatory responses (i.e. firm meetings exams heightened supervision etc.).
• Serves as a primary resource to the Senior Director for updates; responsible for identifying and surfacing key or emerging issues within business segments and briefings on current firm information. Actively communicates supports and implements corporate department and team decisions.
• Responsible for overseeing coordination with Membership Application Program (MAP) group timeliness and quality of risk monitoring work in MAP applications and resolving other material business addition represent the Organizational Business Model/Segment in complex and elevated risk FINRA member interviews.
• Develops and coaches Risk Monitoring staff to include development plans performance evaluations and overall performance management.
• Serves as a proxy for the Senior Director as needed in meetings on firms or examinations as well as day-to-day interactions with external regulatory agencies and other related stakeholder organizations.
• Along with risk monitoring senior management responsible and accountable for the process of interviewing onboarding and retaining staff.
• Participates in industry conferences and meetings in support of FINRA outreach initiatives.
• Manages and provides direction to support special projects surveys committee assignments and technology initiatives impacting Risk Monitoring (i.e. the identification of technology needs by Risk Monitoring and the development of Business Requirements).
• Demonstration of FINRAs values.
• Collaboration both in-person and virtually in furtherance of FINRAs mission of investor protection and market integrity.

Education/Experience Requirements:

• MBA JD other graduate degree and/or relevant industry certification(s) preferred.
• Bachelors Degree or an equivalent combination of education and experience required. Major in Accounting Finance Economics Business Administration or related fields preferred.
• Demonstrated advanced working knowledge of the securities and/or financial-related industry required with substantive experience related to a FINRA firm grouping preferred. Has participated in or led Finance or Business specific projects directing Associates; Can lead a variety of projects across multiple disciplines/businesses.
• FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.

Knowledge Requirements:

• Strong working knowledge of securities industry rules regulations and related guidelines including:
• Advanced knowledge of FINRAs nine risk fundamentals
• Advanced knowledge of securities rules and regulations
• Advanced knowledge of firm business models business lines customer bases products and services
• Intermediate-to-Advanced knowledge of U.S. GAAP accounting standards

Skills Requirements:

• Ability to anticipate how material industry risks are manifested identify trends and patterns for firms in a Firm Group or sub-group design and implement methods necessary for proactive risk identification and advise and consult effective regulatory responses necessary to address such risks.
• Proficiency of Microsoft Office suite of applications.
• Exemplifies the FINRA Leadership Characteristics and serve as a role model for staff in the department.
• Strong leadership skills including the ability to deal effectively with people to make decisions and find solutions to encourage and support change and to deal with problem situations involving member firms and individuals in situations.
• Ability to manage risk monitoring execution staff and effectively influence while providing advice and guidance.
• Ability to manage a team of direct reports responsible for execution of risk monitoring program components for a portfolio of firms. Provides support coaching and counsel to the team. Manages the development of team members by authoring and assigning goals conducting periodic coaching and feedback reviews and administering annual performance evaluations.
• Work independently possess strong project management and organizational skills.
• Self-starter and able to administer a number of complex assignments related to their firm portfolio as well as special projects concurrently including unstructured assignments that require autonomy and independent judgment.
• Excellent written and verbal communication skills including interpersonal skills and presentation skills.
• Establish and maintain effective working relationships at all levels inside and outside the organization.
• Strong interpersonal negotiation and diplomacy skills with a high comfort level in relations with FINRA senior staff while directing Risk Monitoring execution staff from multiple locations.

Work Conditions:

• Hybrid work environment with defined in-person presence requirements.

For work that is performed in Los Angeles and San Francisco CA CO CT IL PA MA MD VA WA DC NY NJ WA please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the addition to location actual compensation is based on various factors including but not limited to the candidates skill set level of experience education and market considerations.

Los Angeles CA: $180782 - $271172

San Francisco CA: $189821 - $284731

Boston MA: $154400 - $299600

Chicago IL: $147600 - $286500

Denver CO: $134400 - $260400

Jericho NY: $154400 - $299600

Jersey City NJ: $161200 - $312600

Philadelphia PA: $147600 - $286500

New York NY: $161200 - $312600

Rockville MD: $154400 - $299600

Tysons VA: $154400 - $299600

Washington DC: $154400 - $299600

Woodbridge NJ: $154400 - $299600

Connecticut State: $134400 - $312600

Washington State: $134400 - $312600

#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.

Please note: If the Apply Now button on a job board posting does not take you directly to the FINRA Careers site enter into your browser to reach our site directly.

Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt 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 long-term disability long-term 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 FINRA-funded 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 time-off program starting at 15 days of paid time off (increasing with years of service up to 25 days) 5 personal days and 9 sick days unless otherwise required by law (all pro-rated in the first year). Additionally we are proud to support our communities by providing two volunteer service days (based on full-time 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). Full-time employees receive nine paid holidays.

*Based on full-time 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 broker-dealers 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 (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.

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.

Washington state applicants: click here for required notice(s).

Search Firm Representatives

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FINRA is an Equal Opportunity Employer

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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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