Assistant Director - Market Regulation, Treasuries Surveillance

Employer
FINRA
Location
Rockville, MD
Posted
Apr 18, 2017
Closes
Apr 21, 2017
Function
Executive, Director
Hours
Full Time
We Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Assistant Director opening in Rockville, MD. To be considered for this position, please submit your resume through our career site at www.finra.org/careers a€" no phone calls, please. Job Summary: Responsible for overall administration of Market Manipulation Teams, with primary responsibility for ensuring that reviews and investigations are planned, assigned and completed in a timely manner. 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 Investigations, Alerts and Treasuries staff and other Market Regulation Department personnel. Position may be filled at various levels depending on experience and job skills of a successful candidate. Essential Job Functions: The Assistant Director is primarily responsible for the leadership, direction and management of assigned Market Manipulation Teams. The Assistant Director specifically performs the following functions: Plan and coordinate staff activities to ensure that qualitative and quantitative objectives of the assigned 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, Market Manipulation 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 personnel. Provide leadership and direction to ensure that objectives are met. 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. Seven to nine 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 relevant rules and regulations enforced by FINRA. Familiarity with software applications and automated systems. At least two to four 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 located in Rockville, Maryland. Work outside of business hours and some travel may be required. To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission. 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 a€oeApply Nowa€ 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 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. 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 restrictionsa€"including disposing of any security issued by a company on FINRA's Prohibited Company List or obtaining a written waiver from their Executive Vice Presidenta€"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. About FINRA FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC's oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA's independent regulation plays a critical role in America's financial systema€"all at no cost to taxpayers. FINRA touches virtually every aspect of the securities businessa€"from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage. In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets. FINRA operates from Washington, DC, and New York, NY, with other offices around the country. Find out more about us and how we worka€"and view our current openingsa€"at www.finra.org/careers. 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 and Affirmative Action Employer All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person's relatives, friends or associates. 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. (C) 2017 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.