Attorney in San Francisco, CA

Public Interest

San Francisco, CA

Attorney in San Francisco, CA

Non-practicing Attorney

No

Director, MS Operations, Procedures and Standards - All FINRA Locations

• Full-time position
• Location: Multiple locations available (see job posting for details)
• Job Requisition ID: R-009155
• Experience: Significant securities, compliance or financial regulatory experience, prior experience in FINRA’s Exam and/or Risk Monitoring program preferred, significant experience managing projects and/or people

Reporting directly to the Vice President of Member Supervision Operations, Procedures and Standards, the Director will provide strategic leadership and guidance for the program, establish procedures and standards, and collaborate with various groups conducting reviews of the program. This role will also involve developing controls and metrics to monitor program execution and effectiveness.

Essential Job Functions:

• Develop and implement a robust operational risk framework within First and Second Lines of Defense.
• Lead efforts to remediate operational risk events/incidents and escalate key procedural control assessments.
• Oversee the development and implementation of procedures and technology to address ongoing needs of the program.
• Lead the development and maintenance of Compass procedures, guidance, and job aid examples for the program.
• Periodically assess practices and determine the need for new or updated procedures.
• Identify, prioritize, and resolve areas of inconsistent procedural application within the program.
• Work with other departments to implement corrective actions and receive feedback on effectiveness.
• Develop and support the strategic leadership approach for the program.
• Maintain a strong working knowledge of industry developments and collaborate with management and other departments to evolve the program accordingly.
• Develop recommendations and lead implementation efforts for corrective action plans across the program.
• Coordinate with other departments to prepare responses and documents related to program oversights, access, and ad hoc requests.
• Respond to inquiries and implement resolution plans for Quality Assurance, Internal Audit, and FINRA CCO exams/inquiries.
• Coordinate with Data Analytics to develop, implement, and improve periodic, trend, and ad hoc reporting for the program.

Education/Experience Requirements:

• Bachelor's Degree in relevant field or equivalent combination of education and experience.
• Major in Accounting, Finance, Economics, Business Administration, or related fields preferred.
• MBA, JD, other graduate degree, and/or relevant industry certifications preferred.
• Significant securities, compliance or financial regulatory experience.
• Prior experience in FINRA’s Exam and/or Risk Monitoring program preferred.
• Advanced analytical skills and experience in the financial industry.
• Demonstrated experience with all inherent industry risks (. 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 FINRA's 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:

• Self-starter with the ability to handle complex assignments simultaneously, including unstructured tasks that require autonomy and independent judgment.
• Advanced verbal and written communication skills.
• Intermediate to advanced proficiency in Microsoft Excel, Word, and PowerPoint.
• Advanced ability to manage time effectively.

Salary Information:

• Salary ranges vary by location (see job posting for details).
• Actual compensation may also be based on factors such as the candidate's skill set, level of experience, education, and internal peer comparisons.

Benefits:

• Full-time employees are eligible for a discretionary bonus in addition to base pay.
• Non-exempt employees are eligible for overtime pay in accordance with federal, state, or local law.
• Comprehensive health, dental, and vision insurance.
• Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment insurance.
• Short- and long-term disability, long-term care, business travel accident, disability, and legal insurance.
• 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution.
• Tuition reimbursement, commuter benefits, and other wellness programs.

Time Off and Paid Leave:

• 15 days of paid time off, 5 personal days, and 9 sick days (pro-rated in the first year).
• 2 volunteer service days (based on full-time schedule).
• Military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, and childbirth and parental leave (available after 90 days of employment).
• Nine paid holidays (based on full-time schedule).

Important Information:

• FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures related to our role as a securities regulator.
• All employees must disclose to FINRA any brokerage accounts they maintain, control, or have a financial interest in.
• New employees must comply with investment restrictions, including disposing of securities on FINRA's Prohibited Company List or obtaining a written waiver from their Executive Vice President, by their start date.
• Employees can only maintain securities accounts at firms that provide an electronic feed of data to **MEMBERS ONLY**SIGN UP NOW***.
• All employees must execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's nepotism policy.

Search Firm Representatives:

• Please note that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity.
• A valid written agreement and task order must be in place before any resumes are submitted.
• Any resumes submitted without a valid agreement and task order will be considered the sole property of **MEMBERS ONLY**SIGN UP NOW***.

FINRA is an equal opportunity employer and strives to make our career site accessible to all