Application Manager, MAP - Any Finra Location

The Application Manager supervises the membership application process relating to matters filed with FINRA, which includes new and continuing membership applications, materiality consultations, two principal waivers, and membership agreement updates.

This is a senior-level professional position supervising examiners and support staff of all levels, defining their assigned roles, increasing their skills, and providing the staff with general guidance.

Essential Job Functions:


* Actively supervises application staff in the execution of the Department’s risk-based application program of member firms, in compliance with FINRA’s Standards of Admission as noted in NASD Rule 1014 and processes outlined in NASD Rule 1017, and other department goals and policies.

This includes assignment of applications, monitoring the start, progress and timely completion of applications, review of the business plans and all documentation submitted by the applicants, review and approval of correspondence generated by the application program staff, engaging in efficient collaboration with internal and external constituents, timely issue spotting, prompt assessment and escalation of unique, complex or novel matters, review of all submitted material for compliance with applicable federal and FINRA rules and regulations, guide application staff regarding next steps, recommend to program senior management appropriate dispositions resulting from the review of each application and supporting material, review of examiners summary of disposition, review of membership agreements and decision letters prior to submission to senior management.



* Participates in pre-filing meetings and Membership Interviews with existing or potential applicants, as well as meetings with other FINRA staff, and staff of other regulatory agencies, to gather data pertinent to applications and reviews.

Testifies at and participates in hearings.

Prepares or supervises the preparation of certain hearing exhibits and materials or application deposition documents.

Researches rules, regulations, guidelines, records, and databases to identify relevant data for an application or other review.



* Monitors and analyzes staff productivity to ensure achievement of Program goals and rule mandated deadlines.

Promote open dialogue with staff about the programs through the utilization of management reports as well as hold staff accountable for meeting deadlines with high quality, including timely resolution of tasks, applications and objectives.



* Effectively and timely communicates key issues, complex novel, unique matters and possible denials or approvals with restrictions to the programs senior management, District Office staff the membership.

Actively communicates, collaborates, supports and implements corporate, division and department decisions.

Identifies and raises to senior management notable trends, risks and/or issues in industry practices, products and procedures.



* Recruits...