Associate Director – Market Regulation, Market Analysis recruitment
Additionally, assist in the development of MA1/MA2 surveillance programs. Plan and coordinate staff activities to ensure consistency of work process and work product, promote best practices, and the efficient flow of work and information among Quality of Markets staff and other Market Regulation Department personnel.
Essential Job Functions:
- The Associate Director is primarily responsible for the leadership, direction and the management of MA1/MA2 teams. The Associate Director specifically performs the following functions:
- Plan and coordinate staff activities to ensure that qualitative and quantitative objectives of the MA1/MA2 teams are met.
- Regularly meet with Supervisors, Team Leaders and staff to review progress of reviews and investigations, provide direction concerning future initiatives, and share information and provide feedback.
- Regularly meet with the Director, Vice President, and Senior Vice President, Quality of Markets and otherwise provide periodic progress reports concerning the development and completion of reviews and investigations and recommendations for disciplinary actions and sanctions.
- Establish and maintain effective informal and formal communication processes for Team personnel.
- Provide leadership and direction to ensure that objectives are met.
- Regularly meet and work with FINRA Business Solutions Group to develop, test and implement surveillance programs.
- Regularly meet with immediate subordinates to discuss performance related and employee satisfaction issues.
- Ensure adequate training and development of personnel.
- Handle administrative and personnel functions for staff.
Qualifications Education/Experience Requirements:
- Four (4) year college degree in Business/Finance or equivalent with course work in investments, finance and accounting.
- Eight to ten years experience in the securities industry or related field, with extensive working knowledge of the Securities Exchange Act of 1934, in general, and the rules applicable in market making activity, in particular with exposure to trading and market making issues, securities processing, clearance and trading practices and knowledge of related FINRA and SEC rules.
- Working knowledge of major market structure rules (e.g., Regulation NMS, Order Handling and Display Rules, Direct Market Access (Rule 15c3-5)) and Exchange operational rules preferred. Familiarity with software applications and automated systems.
- At least two years supervisory experience as well as exposure to personnel related issues. Skilled in the preparation of clear and concise reports and memorandums.
- Excellent communication and interpersonal skills, as well as excellent research skills. Demonstrated strong oral and written ability.
- Demonstrated ability to oversee comprehensive reviews and investigations for potential securities laws violations.
Working Conditions:
- Normal office environment.
- Work outside of business hours and some travel may be required.
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. In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA. About FINRA The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect America's investors by making sure the securities industry operates fairly and honestly. All told, FINRA oversees nearly 4,600 brokerage firms, about 164,000 branch offices and approximately 632,000 registered securities representatives.