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Associate Director, Market Regulation at FINRA in Rockville, Maryland

Posted in General Business 30+ days ago.

Type: Full-Time





Job Description:

Responsible for overall administration of the assigned staff, 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 staff and other Market Regulation Department personnel.

Essential Job Functions:


  • The Assistant Director is primarily responsible for the front line leadership, direction and management of assigned staff. The Assistant Director specifically performs the following functions:

  • Plan and coordinate staff activities to ensure that qualitative and quantitative objectives of assigned staff are met.

  • Regularly meets with staff to review progress of reviews and investigations, provide direction concerning future initiatives, and share information and provide feedback.

  • Regularly meets with the Associate Director/Director and/or other Corporate Officers 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 staff.

  • 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.

Education/Experience Requirements:


  • Four (4) year college degree in Business/Finance or equivalent with course work in investments, finance and accounting.

  • Eight to ten 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 four years supervisory experience as well as exposure to personnel related issues strongly preferred.

  • 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.

Work 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 an application.

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.

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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 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 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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