Director, Member Supervision Strategic Engagements & Publications - Any FINRA Location - FINRA

The Director, Strategic Engagements & Publications, is responsible for supporting the Office of Strategic Engagement (OSE) in providing strategic leadership and guidance, including with respect to process efficiencies, on Member Supervision’s (MS) publications for member firms, as well as materials prepared on behalf of MS for the FINRA Board of Governors and other stakeholders. The Director identifies trends from FINRA’s regulatory programs and industry developments and applies that information to initiate and lead development of publications, Board materials and other industry engagement initiatives. The Director also supports MS’ engagement in FINRA regulatory initiatives and partnership with the Office of General Counsel (OGC).

• Partnering closely with OGC, OSE leadership and teams within MS, Member Relations and Education (MRE) and Corporate Communications, assists OSE leaders in managing the team’s relationships and interactions with OGC on regulatory initiatives that impact MS. 
• Support OSE in the strategy, as well as process implementation, for materials prepared for the FINRA Board of Governors and Advisory Committees, other FINRA departments, and for the industry. 
• Supports the VP in interactions with OGC on rulemaking and interpretive guidance,including identifying and integrating Member Supervision subject matter experts’ and leadership’s perspective into OGC’s life cycle of the adoption of new regulatory requirements and other policy and rulemaking functions, including MS input into OGC’s drafting of rule proposals.  
• Acts as a strategic thought partner and trusted advisorto OSE leadership, including providing operational support for administration of the strategic engagement and publications team, including achieving group goals, developing and analyzing performance metrics, and advising on process efficiencies. 
• Represents OSE leaders’ and Member Supervision’s interests at meetings with internal and external constituents, FINRA Board of Governors and Advisory Committees, OGC, other FINRA departments, industry groups and other regulators.  
• Creates a consistent and efficient approach for managing external publications developing and implementing process efficiencies, and analyzing publication metrics. 
• Manages and coordinates all aspects of Member Supervision’s communications to member firms. This includes: 

*taking a strategic approach to determining when and which subjects/topics Member Supervision should address in communications​;

*preparing or leading staff in preparing high quality, strategic written publications and guidance, including whitepapers, reports, Regulatory Notices, Annual Examination and Risk Monitoring Report, regulatory guidance, alerts, tools and other publications for member firms

*developing metrics and reporting that reflect the guidance presented in publications and other guidance for member firms, including relevant findings and exceptions, trends and patterns; and

*taking a leadership role in identifying and presenting original, creative, innovative, and sophisticated solutions and proposals for changes to existing guidance, including guidance needed to address the constantly evolving securities

industry.

• Supports the preparation of FINRA Board of Governors or Advisory Committee materials that contain sophisticated analyses and discussions of competing policy or political considerations necessary for the informed judgment of the issues by the Board 
• Advises OSE and MS Leadership on potential impact of FINRA and SEC rule changes on Member Supervision, including ongoing publications and initiatives, and recommends responses, consistent with Member Supervision strategies and legal and regulatory requirements. 
• Identifies other regulatory risks and issues that could impact Member Supervision as well as trends and patterns that require attention. 
• Independently manages high complexity internal projects relating to interactions with FINRA leadership, OGC, FINRA Board of Governors and Advisory Committees, other FINRA departments, industry groups, member firms and other regulators. 
• Serves as a subject matter expert on regulatory issues and relationships. 
• Provides direction to, trains and mentors other OSE staff; assists in supervising and directing regulatory analysts, administrative assistants and other OSE staff. 

Education/Experience Requirements:

• Bachelor’s degree or an equivalent combination of education and experience required.  Law degree, advanced business degree, or other graduate degree preferred.
• Significant knowledge of legal, securities, compliance and/or financial regulatory issues.
• Substantial knowledge of broker-dealer compliance policies and practices.
• Significant experience managing projects.
• Expert oral/written communication skills. Excellent interpersonal skills.
• Expert knowledge of relevant FINRA, SEC, and SRO rules.
• Expertise with use of a PC using the full suite of electronic office product applications. 

Skills Requirements:

• Consistently and effectively articulates, through both excellent verbal and written communications skills, the strategic response on behalf of Member Supervision.
• Ability to interact professionally and confidently with senior level management, members of FINRA Board of Governors and Advisory Committees and high-ranking officials at industry groups, member firms and external regulators.
• Expert critical thinking, research and analytical skills.
• High attention to detail and advanced organizational skills.
• Consistently works independently with limited supervision.
• Consistently manages time effectively, completes assignments within budgeted timeframes and makes timely decisions.
• Expert relationship building skills. 

Working Conditions:

• Hybrid office conditions.
• Some travel and extended hours as needed. 

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, 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.

CA: Minimum Salary $146,200, Maximum Salary $296,100

CO/HI/MN/VT*: Minimum Salary $127,300, Maximum Salary $246,600

IL*: Minimum Salary $139,800, Maximum Salary $271,400

Jersey City, NJ/NY, NY: Minimum Salary $152,700, Maximum Salary $296,100

MD/Washington, DC: Minimum Salary $146,200, Maximum Salary $283,800

WA: Minimum Salary $127,300, Maximum Salary $283,800

*Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

#LI-Hybrid

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

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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Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.

Time Off and Paid Leave*

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

*Based on full-time schedule

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

You can read more about these restrictions here.

As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

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