Director, Transparency Services Equities

About the Role
This is a rare opportunity to sit at the intersection of financial markets regulatory policy and product strategy at one of the most influential organizations in the U.S. securities industry. As Director Transparency Services OTC Equities you will own the business and P&L for FINRAs OTC Equity products and facilities shaping market structure driving product development and serving as a critical voice in how unlisted equity markets operate and evolve.

Youll engage directly with trading firms ATSs technology providers and regulators while internally leading cross-functional teams through complex product launches and real-time market events. Your decisions will directly reduce fraud prevent market dislocations and protect investors work that matters at a national scale.

This is a high-impact high-visibility leadership role for a seasoned equities professional ready to influence market structure from the inside.

Market Strategy & Product Leadership

• Own the P&L and business operations for FINRAs OTC Equity products and facilities
• Analyze market and industry trends to propose and prioritize product development strategies balancing market needs with regulatory objectives and FINRAs strategic initiatives
• Develop business plans and oversee execution from inception through product launch including product and pricing model development
• Ensure OTC Equity products meet market and customer needs with feasibility and objectives aligned to broader product strategy
• Monitor developing trends in trading practices technology and emerging asset classes includingcryptocurrency trading and tokenized equities

Market Structure & Policy

• Play a leading role in defining market structure issues for unlisted equities
• Shape FINRAs OTC Equity policy positions and product development by drawing on deep industry expertise
• Play a key role in the development of OTC Equity policies and procedures related to trading operations and compliance and communicate these to FINRA staff and market participants as needed
• Serve as FINRA staff liaison to theUniform Practice Code Committee

Real-Time Market Oversight

• Lead decision-making aroundmarket halts including recommendations on when trading should be suspended
• Participate in decisions toapprove or deny corporate actionsfor OTC Equity-traded companies decisions with direct implications for fraud prevention and market stability
• Manage FINRAs real-time response to OTC Equity market halts trade breaks and other extraordinary market conditions
• Field and resolve real-time inquiries from trading operations and compliance staff at participant firms directing issues to appropriate internal parties as needed

External Engagement & Stakeholder Management

• Serve as a primary external-facing point of contact for key OTC Equity market stakeholders including trading firms ATSs and technology providers
• Interface and negotiate with third parties including market participants other regulators and potential technology vendors in collaboration with FINRA officials and the VP Business Services
• Lead and support industry presentations conference speeches seminars and committee engagements
• Coordinate member-requested meetings drawing on industry knowledge to drive productive outcomes
• Maintain and ensure the accuracy of OTC Equity participant contact databases across Transparency Services

Cross-Functional Collaboration

• Monitor and manage project progress and deliverables across all relevant departments to ensure timely and successful implementations
• Work with Transparency Services Operations Market Regulation and OGC to identify and resolve real-time issues affecting participant firms
• Coordinate with internal departments to develop and implement new product and solution offerings
• Manage all business-related content for OTC Equity pages on the FINRA website from concept through deployment
• Demonstrate FINRAs values and collaborate in-person and virtually in furtherance of investor protection and market integrity

Required Qualifications

Education & Experience

• Bachelors degree in Finance Business Economics or a related field
• Minimum 10 years of relevant experience in equity markets with specific knowledge of market structure market data and the current regulatory environment and its impacts
• Demonstrated ability to translate complex business information needs into system and product solutions
• Strong track record of bringing complex solutions to dynamic trading environments
• Excellent verbal and written communication skills including experience working with and presenting to technical teams
• Strong analytical skills with proficiency in Microsoft Excel and PowerPoint
• Strong orientation toward technology and innovation

Knowledge & Skills

• Deep understanding of OTC equity markets unlisted securities and relevant regulatory frameworks
• Proven ability to manage P&L oversee business operations and develop pricing models
• Demonstrated experience engaging with senior industry stakeholders regulators and external partners
• Ability to lead cross-functional teams and manage complex concurrent projects with competing priorities

Preferred Qualifications

• Hands-on experience trading or selling equities (buy-side sell-side or market-making)
• Familiarity with cryptocurrency trading and/or tokenized equities
• Experience with ATSs market data products or financial market infrastructure
• Graduate degree (MBA JD or equivalent) or relevant industry certifications

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

For work that is performed in CO FL TX IL PA MA MD VA Washington DC NY and NJ 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.

CO/FL/TX: Minimum Salary $134400 Maximum Salary $260400

IL/PA: Minimum Salary $147600 Maximum Salary $286500

MA/MD/VA/Washington DC: Minimum Salary $154400 Maximum Salary $299600

NY/NJ: Minimum Salary $154400 Maximum Salary $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 of 15 days of paid time off 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.

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 is an Equal Opportunity Employer

All qualified applicants receive consideration for employment without regard to any legally protected category including race color age national origin ethnicity religion disability genetic information military or veteran status sex or any other status or classification protected by state or local law.

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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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