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Senior Vice President
Financial Industry Regulatory Authority (FINRA)
New York, NY, United States
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Description
FINRA’s mission is Investor Protection, Market Integrity and our Member Supervision group is at the heart of that mission. Their work is critical in safeguarding investors and ensuring the integrity of our financial markets.
We are seeking a well-qualified individual for our Senior Vice President & Chief of Staff of Member Supervision opening in any of our FINRA Locations.To be considered for this position, please submit your resume through our career site at www.finra.org/careers.
Job Summary
The Chief of Staff of Member Supervision provides critical leadership and strategic support to the Executive Vice President in the performance of a full and diverse range of Member Supervision functions. This support is essential to enabling the EVP to effectively focus on the mission, goals and priorities of the organization.
Essential Job Functions:
• Leads a variety of cross-functional initiatives, in the advancement of the strategic direction of Member Supervision in support of FINRA’s organizational goals. This includes building and/or identifying teams to work through the completion of large, high profile projects, in addition to owning the scope, identifying measures of success, and managing the team(s) through successful completion of the initiative(s).
• Serve as gatekeeper for operational issues that arise which would otherwise require the attention or involvement of the EVP. Assess matters and determine the proper course of action. Identify high risk and urgent matters requiring the attention of the EVP and present such matters in an organized and succinct manner.
• Serve as a key member of the senior management team. Develop and maintain effective relationships with senior leaders throughout the organization. Routinely bring together multiple senior-level stakeholders with divergent perspectives and drive decisions, resolve conflicts, influence outcomes and enable leader success.
• Support organizational excellence through independent analysis of operational effectiveness, serving as a sounding board for all levels of the team, synthesizing team and member firm feedback, and directing the work related to a broad set of initiatives including, for example, technology, staffing, career development, diversity, inclusion and leadership initiatives.
• Act as a strategic thought partner and trusted advisor. Leverage substantive knowledge of the internal and external environment within which Member Supervision operates and provide advice and counsel on matters of regulatory and organizational significance. Oversee the VP & Senior Advisor, Member Supervision.
• Evaluate business structures and processes and assess issues that serve as barriers to operational effectiveness and efficiency. Drive decisions and steer implementation involving the creation of new and improvements or streamlining of existing programs.
• Manage the day-to-day operations of the Office of Member Supervision and ensure the continuity of operations when the EVP is unavailable.
• Manage staffing, budgets, space planning, and reporting in partnerships with Finance, budget owners and Human Resources.
• Regularly respond to inquiries and make decisions on behalf of the executive.
• Orchestrate and facilitate group events, including meeting agendas, logistics, and follow-up, both within the team and across the organization.
• Represent the EVP at meetings and events with internal stakeholders.
Other Responsibilities:
• Create and update presentations, reports, projects plans and metrics.
Qualifications
Education/Experience Requirements:
• Bachelor’s degree, preferably with a major in Economics, Finance, Accounting, or Business. MBA, JD, or other graduate degree preferred.
• Minimum of fifteen years’ experience in the financial services industry or regulation, at FINRA, or other similarly situated organizations, in positions of increasing responsibilities.
• Substantial knowledge of, and experience with, the regulation and operation of the U.S. broker-dealers, as well as familiarity with the broader landscape of financial regulation.
• Proven record of acting independently in an unstructured environment to identify and address challenges, seize opportunities, develop new initiatives, and strengthen existing programs.
• Strong collaborator and team builder, with excellent written and verbal communication, interpersonal, and presentation skills.
• Exceptional organizational skills, with an ability to administer multiple complex assignments concurrently and execute against tight deadlines in multiple areas with different requirements.
• Excellent leadership skills, including the ability to organize and deal effectively with people from a variety of backgrounds in order to reach timely, informed decisions
• Proven record of making risk based decisions in a timely manner.
Working Conditions:
• Work is normally performed in an office environment.
• Frequent travel is required.
• Extended hours are 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.
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.
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.
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