Financial Disclosure and Surveillance Programs Director
FINRA
Location: Nationwide
The Financial Disclosure and Surveillance Programs Director reports directly to the Senior Director of the Ethics office and is responsible for overseeing branch program operations, contributing to the development and implementation of Ethics Office initiatives, and program risk management strategy. The Director functions as FINRA’s subject matter expert on ethics policy matters involving employee financial disclosures and trading compliance, including the monitoring of risks attributable to insider trading. The Director coordinates with the Advisory and Investigations Programs Director on all overlapping branch functions to ensure optimal execution of Ethics Office responsibilities.
Essential Job Functions:
Oversees Ethics Office compliance monitoring and surveillance programs associated with employee financial account disclosures, trading restrictions, insider trading activities, and maintenance of the Prohibited Company List. Directs managers on appropriate resolution of significant compliance and operational matters.
Provides program updates for the Audit Committee of FINRA’s Board of Governors on leading initiatives, compliance performance and trends.
Manages requests from FINRA senior management and the Audit Committee of the FINRA Board of Governors for research and reporting on discrete issues, provides recommendations to Senior Director of Ethics for potential approaches, and implements changes in the office’s procedures and corporate guidance to reflect any resulting changes in policy.
Provides expert and unsupervised guidance to FINRA business executives and senior leaders regarding ethics violations and ethics-related issues impacting their staff.
Directs strategic planning for Ethics Office systems, in collaboration with FINRA’s Technology Office and business stakeholders.
Evaluates program metrics to identify unusual spikes and trends in employee behaviors. As appropriate, recommends targeted risk mitigation strategies.
Education/Experience Requirements:
Bachelor’s degree and a minimum of ten (10) years of experience in an ethics and compliance program in the securities industry with an emphasis on client investments and back-office operations; or an equivalent combination of education and experience.
Advanced degree in Finance, Economics, or Business, preferred.
Minimum of five (5) years of supervisory experience preferred.
Prior experience handling and presenting sensitive information to executive management and Boards preferred.
Excellent interpersonal and written communication skills, tact, and judgment are essential. Must be adept at constructively handling challenging conversations.
Strong collaborative skills and proven success in fostering trust.
Mastery level knowledge of, and extensive experience with, securities accounts, securities products, securities transactions, U.S. securities markets, and back-office broker-dealer operations.
Exceptional organizational skills, with demonstrated experience effectively managing against tight deadlines across multiple areas and priorities.
Proven record of project management, process improvement and goal attainment skills, as well as producing high quality written work product.
Critical thinking with excellent research and analytical skills.
Proficiency in MS Office Suite products (including Word, Outlook, Excel, and PowerPoint).
Working Conditions:
Work is normally performed in a hybrid office environment.
Occasional travel may be required. Extended hours may be required.
For work that is performed in CA, CO, 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 $135,100, Maximum Salary $286,100
Colorado: Minimum Salary $123,000, Maximum Salary $238,300
New York, NY: Minimum Salary $147,500, Maximum Salary $286,100
Washington: Minimum Salary $123,000, Maximum Salary $274,200
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To be considered for this position, please submit an application.
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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