Job Summary:
FINRA has an immediate opening for a
Senior Director/Senior Principal Advisor & Counsel, a key senior level role
with FINRA's Market Regulation – Trading and Execution (T&E)
Department. Provides input to set the
strategic goals for department-wide initiatives and programs with direct
support of Senior Vice President and the department's leadership. Excellent career opportunity for experts in
federal securities law and market regulation.
Essential Job Functions:
- Provides operational support to the SVP,
T&E in the administration of the T&E Department. Works closely with the
SVP and the Department’s senior leadership team in achieving departmental
goals, as well as developing, coordinating, and implementing individual and
cross-T&E group initiatives/strategies related to T&E’s examination,
risk monitoring, investigative, and reporting responsibilities.
- Works with the SVP, T&E in developing
a strategic direction for the T&E Department and helping to ensure that the
strategic direction aligns with the strategic direction of FINRA’s overall exam
and risk monitoring program.
- Leads collaboration with groups across the
Market Regulation Department, FINRA’s Member Supervision examination and risk
monitoring programs, and other FINRA Departments on T&E’s behalf regarding
the progression of complex examinations and the disposition of those matters
post-referral to Enforcement, providing expert legal analysis and guidance; the
development of T&E risk reviews and applications used by the Department;
and rule interpretation and development.
- Oversees cross-Market Regulation projects
(including new business initiatives), issues and policy formulation. Advises
the SVP and the Department’s senior leadership team on the formulation and
development of regulatory proposals and policy.
- Reviews, evaluates, and recommends new
business initiatives from a strategic, legal and business perspective.
- Evaluates the impact of FINRA, client and
SEC rule changes on Market Regulation and recommends responses, consistent with
Market Regulation strategies and legal and regulatory requirements.
- Develops strong relationships and
interfaces with exchange clients on projects and other regulatory matters on
behalf of T&E.
- Utilizes in-depth knowledge of regulatory
programs, policies, and strategies to prepare detailed reports for the Chief
Regulatory Officers and staff of the current RSA clients on the Department’s programs,
as well as prepare and deliver high-level briefings/presentations to FINRA
leadership, RSA Clients, and oversight agency executives.
- Oversees the development of more efficient
processes across the Department, including developing and maintaining Department-wide
procedures.
- Works with technology partners within
FINRA to champion advanced analytics solutions to T&E processes.
- Acts as project sponsor to T&E-wide
initiatives regarding processes and procedures, applications, and case
management.
- Serve as primary liaison to other FINRA
departments and offices, including Member Supervision, Enforcement, and the
Code of Conduct Group.
Other Responsibilities:
- May serve as senior advisor to department
committees (i.e., Workflow, Innovation, etc.).
Education/Experience Requirements:
- Law degree and a minimum of ten (10) years
of industry experience; or an equivalent combination of education and
experience.
- Expert oral/written communication skills.
Excellent interpersonal skills.
- Expert knowledge of federal securities
laws, rules and regulations relevant to Market Regulation’s regulatory
activities.
- Substantial knowledge of broker-dealer
compliance policies and practices.
- Expertise with use of a PC using the full
suite of electronic office product applications.
Working Conditions:
- Work is normally performed in an office
environment.
- Extended hours and occasional travel are
required.
To be considered for this position, please
submit an application: https://finra.wd1.myworkdayjobs.com/FINRA/job/Jersey-City-NJ-Job-Posting/Senior-Principal-Advisor---Counsel--Trading---Execution_R-003194
