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 full pay ranges so that the candidate can consider their growth potential while at FINRA.
#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.
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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
FINRA’s 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 Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by 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.
As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s 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 and Affirmative Action Employer
All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.
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.
FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers.
FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage....
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