Provides strategic leadership and guidance and establishes procedures and standards across the program as well as advising and collaborating with various groups conducting reviews of the program including the SEC, Internal Audit and Quality Assurance for the program. This includes developing controls and metrics to monitor program execution and effectiveness.
Essential Job Functions:
Provide a robust operational risk framework within First and Second Lines of Defense.
Spearheading operational risk event/incident remediations and escalations, key procedural control assessments, refinements, and monitoring.
Oversee the development and implementation of, procedures, and technology necessary to address ongoing needs of the Program across all Firm Groups.
Lead efforts to develop, maintain and continually enhance Compass procedures, Guidance, as well as associated job aid examples relating to the program.
Periodically assess practices and determine if a need exists for a procedure to be developed or updated.
Lead the effort to identify, prioritize and resolve, where warranted, areas of inconsistent procedural application within the program.
Utilize an inclusive process to determine a course of action correcting the area of concern, or record the reasoning for retaining the inconsistency going forward.
Work with MS Business Readiness, Training and/or Communications groups to implement corrective action and receive feedback on effectiveness.
Develop and support the strategic leadership approach within the program.
Maintains strong working knowledge of developments in the industry and works with management and other departments as needed to evolve the program to address such changes.
Develop recommendations for corrective action implementation plans across the program in connection with oversights and lead implementation efforts.
Coordinate with other departments in preparing responses, talking points and document productions relating to oversights, access (e.g., SEC, states) and ad hoc information requests relating to the program.
Respond to inquiries from, and create and implement resolution plans for, Quality Assurance, Internal Audit and FINRA CCO exams/inquiries and related findings and conclusions.
Lead coordinated effort with Data Analytics to continuously develop, implement, and improve periodic, trend and ad hoc reporting including but not limited to monthly program and/or grouping reports for the program.
Education/Experience Requirements:
Bachelor's Degree or an equivalent combination of education and experience required. Major in Accounting, Finance, Economics, Business Administration, or related fields preferred.
MBA, JD, other graduate degree and/or relevant industry certification(s) preferred
Significant securities, compliance or financial regulatory experience
Prior experience in FINRAs Exam and/or Risk Monitoring program preferred
Advanced analytical skills and experience in the financial industry
Demonstrated experience relating to all inherent industry risks (i.e. 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 and able to administer very complex assignments concurrently, including unstructured assignments that require autonomy and independent judgement.
Advanced Verbal and Written Communication skills
Intermediate-to-Advanced level proficiency in Microsoft Excel, Word, and PowerPoint Advanced ability to manage time effectively
For work that is performed in CA, Washington, DC, CO, HI, New York, NY 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 candidates skill set, level of experience, education, and internal peer compensation comparisons.
California: Minimum Salary $146,200, Maximum Salary $296,100
Washington, DC: Minimum Salary $146,200, Maximum Salary $283,800
Colorado/Hawaii: Minimum Salary $127,300, Maximum Salary $246,600
New York, NY: Minimum Salary $152,700, Maximum Salary $296,100
Washington: Minimum Salary $127,300, Maximum Salary $283,800
#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 www.finra.org/careers into your browser to reach our site directly.
FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at 240.386.4865 or by email atEmployeeRelations@finra.org.Please note that this process is exclusively for inquiries regarding application accommodations.
Employees may be eligible for a discretionary bonus in addition to base pay. FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and...

Equal Opportunity Employer - minorities/females/veterans/individuals with disabilities/sexual orientation/gender identity