Director, MRTS Regulatory Compliance
1 week ago
The Director, Regulatory Compliance is responsible for managing key regulatory and compliance functions for Market Regulation and Transparency Services (MRTS).
These functions include managing responses to SEC inspections and oversights, managing responses to government access requests, ensuring timely completion of audit commitments, and managing the department's policies and procedures administration function.
Essential Job Functions:
Manages responses to requests involving Securities and Exchange Commission (SEC) oversight inspections and examinations, which includes the identification and collection of responsive documents, conducting due diligence reviews on proposed responses, drafting response letters, obtaining necessary supervisory approvals, and coordinating with other Regulatory Operations (RegOps) groups and FINRA's Office of Oversight Liaison and Counsel (OLC) to make timely and accurate productions.
Manages responses to requests from federal and state civil and criminal authorities, SROs, and foreign regulators seeking the production of documents, data, and other information maintained by Market Regulation.
Works with FINRA's Office of General Counsel to provide data and information in response to subpoenas, provides guidance to staff on FINRA and Market Regulation policies and procedures related to access requests and FINRA's Government Actor Policy, and works with OLC to prepare the quarterly report to Regulatory Service Agreement (RSA) clients government access/data requests per relevant Communication Protocols.
Manages the tracking of SEC, FINRA Internal Audit, RSA exchange, and third-party audit commitments owned by MRTS and owned jointly by MRTS and FINRA Technology to ensure their timely completion.
Monitors the status of those audit commitments, solicits updates from business units, and coordinates with FINRA Internal Audit on target dates and submitting closure documentation.
Supports MRTS senior management and staff in responding to FINRA Internal Audit reviews and RSA exchange audits, as needed.Manages work related to conflicts of interest certification (COIC) monitoring, waivers, addressing COI-related compliance issues and inquiries, providing guidance to staff, and reporting.
Works closely with the FINRA's Ethics Office on policy issues, procedures updates, and enhancements to the COIC System.Manages the Former Employee Review process for MRTS, which involves addressing potential conflicts of interest associated with former employees who may have performed work related to their employing broker-dealers.
Works closely with FINRA's Ethics Office on policy issues and procedures updates on Former Employee Reviews. Works with MRTS managers and senior management resolving former employee review-related compliance issues and inquiries that require a response.Manages MRTS's policy and procedures administration function, including regular publication of policy/procedure updates, maintenance of common procedures and guidance, and management of the annual certification process.
Assists the Senior Director with compliance-related initiatives, including onboarding of the new enterprise-wide Governance Risk and Compliance tool, the implementation of new policies on policies and procedures governance, the adoption of FINRA's new policy management tool, and the assessment of controls against rules and other compliance obligations.
Other Responsibilities:
Handles diverse projects that require in-depth knowledge of departmental and/or FINRA-wide policies and procedures.
Participates in multi-level initiatives across RegOps.
Provides subject matter expertise to advance FINRA and RegOps initiatives.
Education & Experience Requirements:
Bachelor's degree and a minimum of eight (8) years' experience; or an equivalent combination of education and experience.
Law degree, advanced business degree or other graduate degree strongly preferred.
A minimum of two (2) years of supervisory experience required.
Extensive working knowledge of FINRA and other SRO rules and the federal securities laws and rules thereunder.
Strong organizational skills with excellent attention to detail.
Demonstrated ability to work effectively on multiple time-sensitive matters and meet deadlines.
Strong written and verbal communications skills, including excellent interpersonal and presentation skills.
Working Conditions:
Work is normally performed in an office/remote office environment.
Work environment includes high productivity expectations and tight deadlines.
Extended hours may be required.
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.
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 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 or by email at 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 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 and many other benefits.
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 (all pro-rated in the first year).
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.
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.
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 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.
2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.#J-18808-Ljbffr
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