Senior Director, Risk Monitoring - All FINRA Locations

Single point of accountability for the risk assessment, planning and execution of examinations, based on risks identified for a particular Firm Group and/or Subgroup.

Aware of significant regulatory touchpoints for firms in their Group and/or Subgroup.

Essential Job Functions:


* Provides strategic leadership in a Firm Grouping or Sub-Grouping's Risk Monitoring efforts and ensures consistency of a Firm Grouping or Sub-Grouping's Risk Monitoring activities.


* Responsible for the completion of the Risk Monitoring Program for a specific Firm Grouping or Sub-Grouping through daily management of Risk Monitoring Directors.


* Establishes the goals and objectives for a risk monitoring program specific to firms in a Firm Group or Sub-Group’s Risk Monitoring team.  Provide feedback to firm Group Leader. 


* Provides Firm Group Leaders with updates, key issues, and briefings on current firm information.  Actively communicates, supports and implements corporate, division and department decisions


* Serve as the key contact for the SEC Regional Offices, and State Regulators.

Work closely with Government Relations and Oversight Liaison and Consul Office.  


* Ensure that the relationship with assigned member firms results in meaningful dialogue between FINRA, Member Supervision and industry representatives.

Represent FINRA and Member Supervision during various speaking engagements, meetings, and conferences with industry representatives and the investing public.


* Ensure that the annual examination plan for their assigned firms is comprehensively risk assessed. 


* Coordinate with Examination Program Management and Market Regulation Management to ensure the examination plan for assigned firms is executed in a quality manner and established goals are met. 


* Monitor the overall operation and activities of the Risk Monitoring staff for their assigned firms.


* Ensure that the Risk Monitoring team is recruiting, developing, and retaining staff consistent with Member Supervision business needs. 


* Regularly participate in industry conferences and meetings in support of FINRA outreach initiatives. 


* Identify special  projects, surveys, committee assignments and technology initiatives impacting Risk Monitoring (i.e.

the identification of technology needs by Risk Monitoring and the development of Business Requirements).


* Develop and support the effectiveness of the Risk Monitoring team for assigned firms. 

Education/Experience Requirements:


* MBA, JD, other graduate degree and/or relevant industry certification(s) considered


* Bachelor's Degree or an equivalent combination of education and experience required.

Major in Accounting, Finance, Economics, Business Administration or related fields preferred.


* Significant securities, compliance or financial regulatory experience, and Significant experience managing projects and/or people

Knowledge Requirements:


* Funct...