Senior Director, Risk Monitoring - All FINRA Locations

FINRA • New York, NY

419d

About The Position

The Senior Director of Risk Monitoring is responsible for overseeing the risk assessment, planning, and execution of examinations for specific Firm Groupings or Sub-Groupings within FINRA. This role serves as a strategic leader, ensuring consistency in risk monitoring activities and maintaining significant regulatory relationships. The position involves managing a team of Risk Monitoring Directors and coordinating with various regulatory bodies to ensure effective communication and compliance.

Requirements

• MBA, JD, or 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.
• Significant experience managing projects and/or people.

Responsibilities

• Provide strategic leadership in a Firm Grouping or Sub-Grouping's Risk Monitoring efforts.
• Complete the Risk Monitoring Program for a specific Firm Grouping or Sub-Grouping through daily management of Risk Monitoring Directors.
• Establish goals and objectives for the risk monitoring program specific to firms in a Firm Group or Sub-Group's Risk Monitoring team.
• Provide updates, key issues, and briefings to Firm Group Leaders on current firm information.
• Serve as the key contact for SEC Regional Offices and State Regulators.
• Ensure meaningful dialogue between FINRA, Member Supervision, and industry representatives.
• Represent FINRA and Member Supervision during speaking engagements, meetings, and conferences.
• Ensure comprehensive risk assessment of the annual examination plan for assigned firms.
• Coordinate with Examination Program Management and Market Regulation Management to execute the examination plan effectively.
• Monitor the overall operation and activities of the Risk Monitoring staff for assigned firms.
• Recruit, develop, and retain staff consistent with Member Supervision business needs.
• Participate in industry conferences and meetings to support FINRA outreach initiatives.
• Identify special projects, surveys, committee assignments, and technology initiatives impacting Risk Monitoring.
• Develop and support the effectiveness of the Risk Monitoring team for assigned firms.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Industry: Executive, Legislative, and Other General Government Support
• Education Level: Bachelor's degree