Senior Director, Surveillance and Market Intelligence

The Senior Director of the Testing and Risk Optimization team in Surveillance Optimization and Innovation is a key member of Regulatory Operations’ leadership team and is responsible for overseeing the execution of the strategic direction of their section. This includes directing the section’s responsibilities relating to the Surveillance team and the development and optimization of surveillance patterns to ensure a center of surveillance excellence (e.g., Idea Incubator, Reg Ops Coordination, Surveillance Governance, and Testing and Risk Optimization). This role also communicates and innovates with peers across the organization to facilitate sharing of surveillance intelligence to improve our ability to meet FINRA’s mission.

Essential Job Functions:

• Works closely with senior management to direct short term/long term strategic and operational plans.
• Monitors for program risks and develops solutions, including the coordination of quality control assessments.
• Responsible for directing their team’s day to day operations, demonstrates advanced expertise of the work in their specific area and has an understanding of the work performed by the entire Surveillance group.
• Promotes a culture of continuous innovation and creativity within the Surveillance team, inspiring and empowering team members to generate ideas and solutions (e.g., Idea Incubator).
• Directs the testing and risk optimization of the section’s surveillance tools, patterns and other departmental/Reg Ops reports, in conjunction with Surveillance teams.
• Coordinates the maintenance of the Surveillance function/Reg Ops policies and procedures.
• Coordinates with senior management and Surveillance teams on recommended surveillance enhancements, including an analysis of return on investment (e.g., replacing manual processes).
• Works in a proactive collaborative manner with internal/external constituents including interactions with exchanges, SEC, ISG and law enforcement personnel.
• Participates in internal and external discussions to advance regulatory programs impacting FINRA.
• Represents FINRA in internal/external meetings and speaking engagements.
• Demonstrates FINRA’s values of Responsibility, Innovation, Collaboration and Expertise in interactions with colleagues, management, FINRA members, and outside parties.
• Responsible for monitoring initiatives to achieve the section’s measures of success.
• Demonstration of FINRA’s values.
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Other Responsibilities:

• Represents FINRA at speaking engagements with various internal and external constituencies
• Leads multi-level initiatives across Regulatory Operations
• Provides subject matter expertise in regulatory area to advance FINRA and industry initiatives (e.g., CAT, Notice to Members, rule filings, market events, congressional testimony preparation)
• Remains current on industry and technology trends, practices, and regulatory impacts

Education/Experience Requirements:

• Bachelor’s degree and a minimum of ten (10) years of experience in the securities/financial services industry; or an equivalent combination of education and experience in positions of increasing responsibilities.
• Minimum five (5) years supervisory experience required.
• Demonstrated project management, process improvement, understanding of surveillance development lifecycle and goal attainment skills.
• Extensive working knowledge of FINRA, MSRB and other SRO rules and the Securities Exchange Act of 1934 and the rules and regulations thereunder.
• Working knowledge of data analytics and data analytic platforms (e.g., Power Bi and Dataiku)
• Demonstrated ability to lead regulatory program and produce outstanding measurable results.
• Requires excellent written and verbal communications skills, including interpersonal and presentation skills.
• Strong organizational skills and excellent detail orientation.
• 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.

Working Conditions:

• Hybrid work environment, with defined in-person presence requirements.
• Hours may extend beyond normal business hours.
• Travel will be required, as necessary.

For work that is performed in Los Angeles and San Francisco, CA, 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 position. 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 market considerations.

Los Angeles, CA: Minimum Salary $221,000, Maximum Salary $332,00

San Francisco, CA: Minimum Salary $231,000, Maximum Salary $347,000

CO/FL/TX: Minimum Salary $158,000, Maximum Salary $308,900

IL/PA: Minimum Salary $173,600, Maximum Salary $340,200

MA/MD/VA/Washington, DC: Minimum Salary $181,500, Maximum Salary $355,400

NY/NJ: Minimum Salary $181,500, Maximum Salary $370,700

#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.

You can read more about these restrictions here.

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 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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