Enforcement's Central Intake Group (CIG) handles the intake, assessment, and assignment of all matters within Enforcement. CIG collaborates with Enforcement's referring partners and plays a critical role in administering matters across Regulatory Operations (RegOps). The Senior Director is responsible for leading the CIG team, overseeing its activities, and advising Enforcement's Senior Leadership Team on a variety of matters, including emerging risks and trends identified through the review of referrals. Essential skills for this role include the ability to conduct timely and high-quality analysis to effectively review, prioritize and assess matters, and to collaborate with team members, as well as internal and external stakeholders. The Senior Director possesses substantial expertise in Enforcement matters and workflow and manages the multi-functional areas related to the intake, triage, analytical review, assignment, tracking and assignment of referrals to Enforcement. The Senior Director coordinates closely with partners in Market Regulation Transparency Services (MRTS) and Member Supervision to identify and develop ongoing efficiencies and in facilitating the Collaborative Consultation process.
Essential Job Functions:- Responsible for the leadership, direction, and management of CIG. Provide oversight and active management of CIG staff in the execution of CIG's functions to achieve department-wide and corporate goals.
- Demonstrate an advanced level of expertise on Enforcement matters, the securities markets, products and regulatory reporting. Possess a deep understanding of Enforcement rules and potential charges to make decisions regarding referral to Enforcement and optimal staffing.
- Review and analyze referral materials from MRTS and Member Supervision (e.g., Collaborative Consultation Memos, referral memos, and other case-related documents) and provide recommendations to Enforcement senior management on staffing, necessary skills and specialization and next steps. Assessment of matters includes issue spotting and identification of hurdles to the investigation or litigation of a matter.
- Plan, manage, and oversee recurring meetings with referral partners to ensure the timely progression of cases (e.g., Collaborative Consultation).
- Work closely with other RegOps departments to build consistency and strength across the RegOps program and drive success for the organization.
- Plan and oversee CIG's workflow, the progress of referrals, staff assignments and other initiatives designed to ensure timely progression of cases.
- Monitor and report statistics and analyses for CIG and Collaborative Consultations.
- Identify and escalate to Enforcement senior management significant matters or regulatory issues, including risks and trends and proactively develop potential solutions.
- Ensure that work processes are handled effectively, accurately, and that core regulatory responsibilities are met. Conduct periodic quality reviews to ensure adherence to CIG policies and procedures.
- Partner with Enforcement's senior management in development of department policies and procedures, business process improvements and technology enhancements.
- Periodically meet with Enforcement's senior management to communicate the progress of matters in CIG and any challenges to success.
- Interface effectively with both internal and external constituents, including other FINRA departments, FINRA members, and staff of other regulatory agencies. Lead discussions with external regulators and responses to requests for case updates and ad hoc queries.
- Ensure that regulatory intelligence is shared appropriately and in a timely manner with other FINRA departments, and other regulatory authorities.
- Oversee the development, maintenance and effective use of regulatory technology systems and resources utilized by CIG. Recommend enhancements and assist in the development and deployment of automated tools to ensure that CIG effectively discharges its regulatory responsibilities.
Other Responsibilities:- Leads and/or participates in special projects, as appropriate.
Education & Experience Requirements:- Bachelor's degree in Accounting, Finance or Business Administration or equivalent relevant professional experience in the securities industry. Law degree or Master's degree preferred.
- Minimum of 12 years of superior performance as an investigator, attorney or similar regulatory experience.
- Demonstrated ability to simultaneously handle numerous complex matters related to securities laws violations.
- Knowledge of federal securities laws and specific knowledge of the Securities Exchange Act of 1934 is a plus.
- Must have experience managing, leading, and evaluating employees in a team environment.
- Demonstrated excellent oral and written communications ability.
Working Conditions:- Work is normally performed in a hybrid office environment. Intermittent overnight travel is required.
- Extended hours are frequently required.
- Work environment includes high productivity expectations and tight deadlines.
For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, and WA the chart below outlines the proposed salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate's skill set, level of experience, education, and internal peer compensation comparisonsCA: Minimum Salary $171,900, Maximum Salary $351,200CO/HI/MN/VT*: Minimum Salary $149,600, Maximum Salary $292,600IL*: Minimum Salary $164,500, Maximum Salary $322,200Jersey City, NJ/NY, NY: Minimum Salary $179,600, Maximum Salary $351,200MD/Washington, DC: Minimum Salary $171,900, Maximum Salary $336,600WA: Minimum Salary $149,600, Maximum Salary $336,600*Including positions performed outside the state but reporting to an office or manager in that state.Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.#LI-Hybrid
To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.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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