Director, MRTS Regulatory Compliance

Found in: Talent US C2 - 1 week ago

Chicago, United States finra Full time

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. 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.

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

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