Senior Director, Trading and Product Risk Intelligence
Essential Job Functions:
Serve as a senior strategic partner to internal and external stakeholders, providing guidance on cross-departmental efforts to identify emerging threats and driving intelligence-led initiatives with measurable impact across the organization.
Provide guidance and leadership to teams identifying, analyzing, and predicting a broad and complex range of emerging risks, threats, regulatory trends, and critical events, including assessing impact across multiple functions and the broader organization.
Serve as FINRA’s representative for strategic relationships with industry leaders and peers, spearheading the establishment and maintenance of partnerships and networks with internal and external stakeholders to understand and shape intelligence priorities across the enterprise.
Direct teams in the execution of intelligence frameworks, collection strategies, standards, and dissemination, leveraging extensive expertise across sophisticated intelligence practices, standards, and a broad range of disciplines.
Direct teams in the execution of measurable operational plans, including setting priorities for the production of Strategic Intelligence products, assessments, briefings, and communications that translate complex intelligence into actionable insights for senior leadership, regulatory staff, and external stakeholders.
Oversee the development and implementation of annual and longer-term risk management strategies, partnering with senior leadership across FINRA to mitigate risks and threats, and drive alignment on new intelligence concepts, practices, and approaches.
Lead or participate in conference panels, working groups, and roundtables related to member firm/investor and FINRA staff intelligence sharing.
Lead or host training events, podcasts, workshops, or live webinars related to FINRA staff training and intelligence sharing.
Demonstrate FINRA’s values.
Collaborate, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.
These stay in all JDs.
Education/Experience Requirements:
- Bachelor's degree and minimum of twelve (12) years of experience required; advanced degree in intelligence studies, public policy, business, or law preferred.
- Previous experience working and leading teams at a broker-dealer or other type of financial institution or at a government agency or department with a focus on intelligence required.
- Mastery level knowledge and proven track record of performing advanced and high-complexity intelligence functions across multiple disciplines, representing the full intelligence cycle.
- Demonstrated success in applying rigorous analytical and strategic thinking skills, particularly in high-risk situations with no precedent for resolution, to assess broad and complex risks and threats with significant implications across the broader organization.
- Demonstrated track record of making significant improvements to support operational excellence and drive measurable results across several teams and functions.
- Strong knowledge of FINRA rules and the federal securities laws is required.
- Strong knowledge of the securities markets and member firm operations is required.
- Exceptional written and verbal communication and interpersonal skills, including the ability to influence senior leaders and align stakeholders across the organization on new intelligence concepts, practices, and approaches.
- Broad management and strong leadership background, with proven experience managing three or more senior-level managers and senior individual contributors.
- Demonstrated experience fostering a functional team-oriented culture and directing the execution of strategies established by senior leadership.
- Exceptional organizational skills and attention to detail.
- Expert proficiency in Microsoft Office and other relevant software applications.
- FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.
Work Conditions:
- Hybrid work environment, with defined in-person presence requirements.
- Extended hours and travel may be required.
For work that is performed in Los Angeles and San Francisco, CA, CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. 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 market considerations.
Los Angeles, CA: Minimum Salary $223,000, Maximum Salary $335,000
San Francisco, CA: Minimum Salary $233,000, Maximum Salary $350,000
CO/FL/TX: Minimum Salary $158,000, Maximum Salary $308,900
IL/PA: Minimum Salary $173,600, Maximum Salary $340,200
MA/MD/VA/Washington, DC: Minimum Salary $181,500, Maximum Salary $355,400
NY/NJ: Minimum Salary $181,500, Maximum Salary $370,700
#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.
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.
You can read more about these restrictions here.
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 is an Equal Opportunity Employer
All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law.
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 [email protected]. Please note that this process is exclusively for inquiries regarding accommodations in the application process.
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.
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