Regulatory Principal, MAP
About The Position
The Regulatory Principal, MAP Crypto role demonstrates an expert level of competence in identifying risks and developing regulatory strategies for member firm business activities, with emphasis on Crypto operations. The role demonstrates expertise in managing applications, crypto trading platforms, market infrastructure, and distinctions between centralized exchanges, DeFi protocols, and traditional securities markets, utilizing advanced knowledge of custody of crypto asset securities, wallet creation, private key management, operational risk controls, and cybersecurity. Additionally, the Regulatory Principal possesses expert-level understanding of distributed ledger technology, smart contracts, tokenization, and various crypto products, including their risk profiles and investor protection considerations. The role ensures the thorough and timely completion of all applications and provides advice to staff and final definitive determinations with regard to decisions concerning their respective area(s) of expertise. This role mentors, shares expertise and advises staff, and works under minimal supervision.
Requirements
- Bachelor’s degree or an equivalent combination of education and experience required.
- Expert level of knowledge of business conduct risk and industry practices, securities industry rules, regulations and best practices required.
- Expert level knowledge of securities products and activities of member firms and the industry.
- Demonstrate an expertise in risk analysis and proactive risk identification.
- Possess strong analytical skills.
- Demonstrate a track record in developing appropriate regulatory responses for risks, not just through the exam process.
- Excellent oral and written communications and presentation skills required.
- Possess excellent time management skills.
- Exemplifies the FINRA Leadership Characteristics and serve as a role model for staff in the department.
Nice To Haves
- Major in Accounting, Finance, Business Administration, Economics or related field preferred; advanced degree/certifications a plus.
- Crypto assets knowledge highly preferred.
Responsibilities
- Lead or participate in and provide guidance and advice with regard to highly complex applications and special projects.
- Identify notable trends in industry practices, products and procedures.
- Ensure regulatory programs serve departmental goals and FINRA’s mission in an efficient and effective manner, utilizing critical thinking, interviewing, research and quantitative skills.
- Support MAP management in conducting reviews of staff work product, including reviewing reports and sign-off on the final decision letter.
- Participate in developing and/or delivering training courses for MAP.
- Proactively identify ideas for in-house training.
- Participate in developing course content and serving as a Subject Matter Expert to the Business Learning & Talent Team on technical accuracy and skill relevancy of training materials and plans.
- Serve as a mentor to junior staff.
- Present subject matter material for FINRA internal programs and external industry events.
- Demonstration of FINRA’s values.
- Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.
- Serve as a proxy for a MAP management in meetings on firms and/or applications.
- Other duties as assigned.
Benefits
- 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.
- 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.
- 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
- adoption assistance
- backup family care
- surrogacy benefits
- employee assistance
- wellness programs
- 15 days of paid time off
- 5 personal days
- 9 sick days
- two volunteer service days
- 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)
- childbirth and parental leave (available after 90 days of employment)
- nine paid holidays
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What This Job Offers
Job Type
Full-time
Career Level
Senior
