Senior Director, Surveillance and Market Intelligence
$221,000–$221,000 year
HybridChicago, Illinois, United States or San Francisco, California, United States
Chicago, Illinois, United States or San Francisco, California, United StatesHybridFull Time$221,000–$221,000 yearSenior LevelLarge
Full TimeSenior LevelLarge
Job Summary
Direct the Testing and Risk Optimization team's execution of strategic direction, overseeing surveillance pattern development to ensure excellence in idea incubation, governance, and quality control. Monitor program risks, coordinate enhancements including ROI analysis for replacing manual processes, and lead multi-level initiatives across Regulatory Operations. Collaborate with senior management and external constituents such as exchanges, SEC, and law enforcement to advance regulatory programs and represent FINRA in speaking engagements. Maintain surveillance tools and policies while demonstrating subject matter expertise in rule filings and market events.
Required Qualifications
- Bachelor's degree
- Minimum of ten (10) years of experience in the securities/financial services industry
- Equivalent combination of education and experience in positions of increasing responsibilities
- Minimum five (5) years supervisory experience
- Demonstrated project management skills
- Process improvement skills
- Understanding of surveillance development lifecycle
- Goal attainment skills
- Extensive working knowledge of FINRA rules
- Extensive working knowledge of MSRB rules
- Extensive working knowledge of other SRO rules
- Working knowledge of the Securities Exchange Act of 1934
- Working knowledge of rules and regulations under the Securities Exchange Act of 1934
- Working knowledge of data analytics
- Working knowledge of data analytic platforms (e.g., Power Bi and Dataiku)
- Demonstrated ability to lead regulatory programs
- Ability to produce outstanding measurable results
- Excellent written communications skills
- Excellent verbal communications skills
- Interpersonal skills
- Presentation skills
- Strong organizational skills
- Excellent detail orientation
- FINRA Securities Industry Essentials (SIE) certification
- Acceptable industry equivalent certification to SIE
- Valid written agreement and task order (for search firms)
Desired Qualifications
- Experience with Idea Incubator
- Experience with Reg Ops Coordination
- Experience with Surveillance Governance
- Experience with Testing and Risk Optimization
- Experience with FINRA's values of Responsibility, Innovation, Collaboration and Expertise
- Experience with CAT
- Experience with Notice to Members
- Experience with rule filings
- Experience with market events
- Experience with congressional testimony preparation
- Experience with exchanges
- Experience with SEC
- Experience with ISG
- Experience with law enforcement personnel
- Experience with internal and external discussions to advance regulatory programs
- Experience with internal and external meetings
- Experience with speaking engagements
- Experience with FINRA members
- Experience with outside parties
- Experience with monitoring initiatives to achieve the section's measures of success
- Experience with multi-level initiatives across Regulatory Operations
- Experience with subject matter expertise in regulatory area to advance FINRA and industry initiatives
- Experience with remaining current on industry and technology trends
- Experience with practices
- Experience with regulatory impacts
- Experience with hybrid work environment
- Experience with defined in-person presence requirements
- Experience with hours extending beyond normal business hours
- Experience with travel as necessary
- Experience with Los Angeles, CA
- Experience with San Francisco, CA
- Experience with CO
- Experience with FL
- Experience with TX
- Experience with IL
- Experience with PA
- Experience with MA
- Experience with MD
- Experience with VA
- Experience with Washington, DC
- Experience with NY
- Experience with NJ
- Experience with salary ranges for the corresponding location
- Experience with FINRA's Code of Conduct
- Experience with restrictions on employees' investments
- Experience with financial disclosures
- Experience with brokerage accounts
- Experience with controlling trading
- Experience with having a financial interest
- Experience with trust account
- Experience with trustee
- Experience with beneficiary
- Experience with spouse
- Experience with domestic partner
- Experience with minor child
- Experience with e-feed
- Experience with electronic feed
- Experience with duplicate statements
- Experience with Prohibited Company List
- Experience with Executive Vice President
- Experience with written waiver
- Experience with securities firms
- Experience with Employee Confidentiality and Invention Assignment Agreement
- Experience with company's policy on nepotism
- Experience with search firms
- Experience with unsolicited resumes
- Experience with Equal Opportunity Employer
- Experience with legally protected category
- Experience with race
- Experience with color
- Experience with age
- Experience with national origin
- Experience with ethnicity
- Experience with religion
- Experience with disability
- Experience with genetic information
- Experience with military or veteran status
- Experience with sex
- Experience with state or local law
- Experience with 41 CFR 60-741.5(a)
- Experience with 41 CFR 60-300.5(a)
- Experience with affirmative action
- Experience with qualified individuals
- Experience with disabilities
- Experience with protected veterans
- Experience with Financial Industry Regulatory Authority, Inc.
- Experience with Technology Page
- Experience with independent, non-governmental regulator
- Experience with securities firms
- Experience with public
- Experience with United States
- Experience with Securities and Exchange Commission
- Experience with SEC
- Experience with investor guardian
- Experience with industry
- Experience with public-private partnership
- Experience with oversight
- Experience with investor protection
- Experience with market integrity
- Experience with public-private partnership
- Experience with SEC's oversight
- Experience with informed
- Experience with not influenced
- Experience with industry
- Experience with regulates
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