Senior Director, Regulatory Review & Disclosure at FINRA in Rockville, Maryland

Job Description:

Support the mission of Investor Protection by ensuring the integrity of the Central Registration Depository Disclosure Data Base and the Public Disclosure Program. This will be accomplished by managing the review and analysis of all CRD filings for both individuals and firms that include disclosure information. This review will result in the ultimate decision of whether such individuals or firms can be registered to conduct a securities business. Disclosure information is reported to the CRD system on Uniform Forms by FINRA Member Firms, Individuals, and Regulators, including states and the SEC. Information is also reported by the Department of Justice and other self-regulatory organizations and is reviewed and analyzed by a staff composed of lawyers and paralegals according to regulatory and compliance policies; or joint FINRA rules and by the FINRA, NASAA, SEC and other regulator policies. This position serves as the expert point of contact for FINRA, and to the SEC and other regulators, for issues relating to the disclosure reporting review process and its effects on the information presented in registration and public disclosure systems.

Essential Job Functions:

• Direct the disclosure review function to ensure completeness of all disclosure-related filings and adherence to the policies established by the groups indicated above.


• Direct the Public Disclosure program to ensure timely and accurate reporting of disclosable information to investors and others, consistent with FINRA policies and rules.


• Jointly with department counsel as well as other regulators and self-regulatory organizations develop regulatory and compliance policies and guidelines to be followed for both reporting and disclosure to the public.


• Direct the Uniform Form disclosure revision process for Credentialing, Registration, Education and Disclosure (CRED) and FINRA with the SEC, other SRO’S, NASAA, the states, FINRA member firms and others.


• Serve as subject matter expert and participate in the formulation of all disclosure-related policies and guidelines and participate in the development of interpretive guidance to be followed when conducting analysis of disclosure data.


• Member of department Leadership Team responsible for establishing strategic direction and managing to reach the associated goals.


•  Oversee work processes across the functional units on an on-going basis to ensure that they are working effectively, using both statistical analysis and other methods of assessment. Drive changes that would improve efficiency while maintaining quality of output.


• Ensure that the flow of work within the functions is structured so that resources are utilized in the most effective manner, and that the highest level of quality and service is provided to both internal and external customer.


• Create, review, and assess reports on the operational efficiency of the various functional units within Regulatory Review and Disclosure, and report to the Vice President on the performance.

Other Responsibilities:

• Lead divisional and department projects aimed at defining and implementing policies and programs.


• Perform other duties as required to maintain the effective operation of the RR&D Department.

Education/Experience Requirements:

• Bachelor’s degree and at least 15 years related work experience in legal, government relations, business, or regulatory/compliance-related experience, or equivalent combination of education and experience.


• Minimum 8 years experience working with Regulatory issues required.


• Minimum 5 years of  of direct management experience required.


• Advanced/professional degree in business, law or public policy preferred.


• Demonstrated coaching, interpersonal, and communication skills.


• Proficiency in Microsoft Windows-based software applications.

Working Conditions:

• Work in an office environment.


• Frequent use of PC, telephone, and other business technology.


• Travel associated with industry related conferences 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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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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