What are the responsibilities and job description for the Associate Director, Enforcement Business Operations position at Finra?
Responsible for the planning and execution of a suite of multiple cross departmental projects in defining scope, deliverables and timetable to support overall program strategy while working through issues and conflicts to reduce risk of project delays and/or incompletion. Manage a team to support these functions.
As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.
Essential Job Functions:
COIC:
- Manages work related to conflicts of interest certification (COIC) monitoring, waivers, addressing COI-related compliance issues and inquiries, providing guidance to staff, and reporting.
- Manages the Former Employee Review process for Enforcement, which involves addressing potential conflicts of interest associated with former employees who may have performed work related to their current broker-dealers.
Program Management:
- Lead project prioritization discussions with senior management, key stakeholders, and support team members to develop, document and implement project plans/roadmaps for review with all project participants.
- Monitor feedback and deliver regular status updates to include risk assessment, issues, project modifications and timetable changes and decision points.
Budget Management:
- Working with Finance, oversee and manage the annual operating budgets, quarterly forecasts, and financial and operational reporting for Enforcement.
- Assess financial risks by analyzing actual results against forecasts.
- Monitor monthly business expenses for significant budget variances.
- Assist key stakeholders in Enforcement with their budgets and quarterly forecasts to ensure consistency across Enforcement.
Records and Information Management:
- Independently conducts daily activities within the Information Management, Records Management, and Entitlements Management work area, including leading e-record conversions, implementing security and authorization controls, and ensuring policy compliance.
- Manages entitlements for the Department’s systems and records locations (e.g., approving requests, configuring entitlements groups, facilitating periodic entitlements reviews, etc.).
Meetings & Planning:
- Lead the development, implementation and management of initiatives.
- Partner with Senior Director and Enforcement’s Managers to enhance Enforcement’s meetings and conferences; develop and maintain Enforcement recognition programs and events; and create identification and nomination strategy for leadership opportunities.
Education/Experience Requirements:
- Bachelor’s degree in Accounting, Finance, Economics, Business Administration or related fields preferred, with a minimum of 8 years relevant experience, and associated experience managing teams or working groups, and projects
- Significant securities, compliance or financial regulatory experience
- Demonstrated success in the establishment of policies and procedures
- Extensive experience identifying and remediating control environment issues
- Experience managing projects and/or people required
- Experience with managing case conflicts clearance
- Advanced knowledge of FINRA departments and their mandates
- Self-starter and able to administer very complex assignments concurrently, including unstructured assignments that require autonomy and independent judgement
- Advanced Verbal and Written Communication skills
- Intermediate-to-Advanced level proficiency in Microsoft Excel, Word, and PowerPoint
- Advanced ability to manage time effectively
Working Conditions:
- Ability to work in a hybrid work environment.
For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons.
CA: Minimum Salary $128,000, Maximum Salary $242,600
CO/HI/MN/VT*: Minimum Salary $111,400, Maximum Salary $202,100
IL*: Minimum Salary $122,800, Maximum Salary $222,400
Jersey City, NJ/NYC, NY: Minimum Salary $133,700, Maximum Salary $242,600
Jersey City, NJ/NYC, NY: Minimum Salary $133,700, Maximum Salary $242,600
MA/WA: Minimum Salary $111,400, Maximum Salary $232,500
MD/Washington, DC: Minimum Salary $128,000, Maximum Salary $232,500
NJ State: Minimum Salary $122,800, Maximum $242,600
NY State: Minimum Salary $111,400, Maximum Salary $242,600
- Including positions performed outside the state but reporting to an office or manager in that state.
Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.
#LI-Hybrid
To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.
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.
Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.
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 Employee Relations team at 240.386.4865 or by email at
EmployeeRelations@finra.org.
Please note that this process is exclusively for inquiries regarding application accommodations.
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. As part of its dedication to employee wellness, FINRA provides 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. FINRA offers 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, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
Time Off and Paid Leave*
FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes 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); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.
- Based on full-time schedule
Important Information
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. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.
As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.
Search Firm Representatives
Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.
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 Employee Relations team at 240.386.4865 or by email at
EmployeeRelations@finra.org.
Please note that this process is exclusively for inquiries regarding application accommodations.
All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws.
FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.
FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.
Salary : $111,400 - $242,600
