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Senior Advisor, Member Supervision - Any FINRA Location at FINRA in New York, New York

Posted in General Business 29 days ago.

Type: Full-Time





Job Description:

Leverage extensive regulatory experience and industry knowledge to assist Member Supervision Firm Group Leaders and Single Points of Accountability reviewing complex issues and matters arising from the Risk Monitoring and Examination Programs. Operate as a key source of Financial and Operational Risk expertise within Member Supervision.

Essential Job Functions:


  • Serve as an expert and advisor to Member Supervision Firm Group Leaders on matters pertaining to regulatory risk.

  • In addition to individually identifying risks, will function as liaison in managing complex risks identified across different business lines to ensure a comprehensive and consistent approach to the regulatory program, including how those risks present themselves in new business lines and products.

  • Reviews risks from a strategic business perspective to ensure consistency and increase efficiencies.

  • Work with Member Supervision Single Points of Accountability to resolve and make decisions around complex, difficult or material matters involving important, sensitive, or novel issues emanating from the Risk Monitoring and Examination Programs.

  • Collaborates with Member Supervision Firm Group Leaders and Single Points of Accountability in working with senior staff of the SEC and other agencies in resolving complex regulatory and interpretative matters.

  • Assist Member Supervision Single Points of Accountability in responding to complex questions, information requests, industry surveys, and projects associated with industry events.

  • Develop Member Supervision staff through education and guidance on programs, processes, and procedures affecting key business operations.

  • Work with groups within and outside Member Supervision on issues involving novel business models and approaches, including work with OFORP and MAP.

  • Join Firm Group Leaders and Single Points of Accountability at meetings with member firms and/or at industry presentations as needed.

  • Work closely with other departments outside Member Supervision to accomplish common objectives in support of FINRA’s core mission. Participate in joint regulatory initiatives with the SEC and other SRO’s.

Other Responsibilities:

  • Lead Senior-level projects on behalf of the department or business unit, as assigned.

Education/Experience Requirements:


  • Bachelor’s degree, preferably with a major in Finance, Accounting, Economics or Business and a minimum of 10 years of related industry experience. Advanced degree preferred.

  • High degree of knowledge of federal securities laws and specific knowledge of the Securities Exchange Act of 1934.

  • Comprehensive understanding of the U.S. securities industry and expert knowledge of SRO and SEC rules and regulations, generally accepted accounting principles, and current risk management practices governing broker/dealer business activities.

  • Strong familiarity with record keeping systems, technology tools utilized and products traded by broker/dealers.

  • Ability to develop initiatives that align regulatory policies, guidance and practices with industry business practices.

  • Strong analytical skills.

  • Excellent interpersonal and communications skills, both oral and written.

Working Conditions:


  • Normal office environment.

  • Extended hours/limited travel 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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