Manager II – Market Regulation, Options Regulation recruitment
Essential Job Functions:
- Takes leadership role by providing input to senior managers in identifying and anticipating regulatory issues that impact the role and responsibilities of the team and developing plan to address these issues.
- Takes a leadership role in implementing regulatory plans under the direction of senior managers by coordinating staff to accomplish goals.
- Assists senior managers in the budgeting, recruitment, and training of staff pursuant to regulatory and business plans.
- Provides excellent internal/external customer service and assists management in anticipating/planning customer needs.
- Interfaces individually and in group setting with major constituencies to include staff, members, issuers, the general public and other regulatory personnel.
- Provides input and works closely with management to assess goal accomplishment and evaluate staff performance, including the administering of performance reviews.
Qualifications Education/Experience Requirements:
- Bachelor's degree in Business, Finance, Economics or Management; advanced degree helpful.
- Demonstrated strong information gathering, organizational, analytical and decision-making capabilities.
- Demonstrated ability to interface effectively with management, peers, and other constituencies to accomplish Market Surveillance mission and goals.
- Demonstrated excellent written and oral communication skills.
- Demonstrated ability to provide excellent internal/external customer service.
- Minimum eight years relevant securities industry experience and two years supervisory experience.
Working Conditions:
- Work conducted in an office environment; some travel 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. FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's accommodation help line at (240) 386-4865. Please note that this number is exclusively for inquiries regarding application accommodations. 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. Please note: 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. As standard practice, employees must also complete FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism. 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.FINRA is an Equal Opportunity and Affirmative Action Employer