Manager - Market Regulation, Fixed Income

Rockville, MD
Jul 13, 2018
Jul 16, 2018
Full Time
We Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Manager-Fixed Income opening in Rockville, MD . To be considered for this position, please submit your resume through our career site at no phone calls, please. Job Summary: Part of the management team in the Fixed IncomeInvestigations Section, with primary responsibility for ensuring that fixed income customer protection 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 the Fixed Income Investigations staff and other Market Regulation Department and FINRA personnel. 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 plans to address these issues. Takes leadership role in drafting and implementing regulatory plans under the direction of senior managers by coordinating staff to accomplish goals. Recruits and trains staff pursuant to regulatory and business plans. Interfaces individually and in group settings with major constituencies, including staff, members, issuers, the general public and other regulatory personnel. Assess team and individual goal accomplishment and evaluates staff performance. Manages staff to ensure that surveillance activities and investigative reviews are completed in a timely and thorough manner. Supervises on-the-record interviews pertaining to investigations conducted by the section.

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