Full-time
Sr. Vice President & Chief Compliance Officer - Corporate OGC - Washington, DC or Rockville, MD or New York, NY - Finra - Washington, DC

We Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Sr. Vice President & Chief Compliance Officer opening in Washington, DC or Rockville, MD or New York, NY. To be considered for this position, please submit your resume through our career site at www.finra.org/careers – no phone calls, please. Job Summary: This position is responsible for coordinating and reviewing the compliance of FINRA as a regulated organization, including FINRA’s recordkeeping and reporting requirements under the securities laws. The position also is responsible for the leadership, guidance, and direction of the following functional areas: Code of Conduct/Ethics and Oversight Liaison and Counsel. This role requires the incumbent to provide ongoing advice and counsel to the senior leadership team including the Office of the CEO as well as the Audit Committee of the Board of Governors on issues that will have direct and indirect impacts on FINRA as related to FINRA internal compliance, the administration of the Code of Conduct and the corporate ethics program, as well as SEC and GAO compliance oversight inspections. The incumbent must maintain partnerships with the functional leaders of all business units within FINRA and will work directly with the CEO on strategic issues. Essential Job Functions: The objectives of the Compliance Office are to protect the interests of FINRA through working as “the second line of defense” in FINRA’s compliance responsibilities, to create policies and procedures to ensure that the corporation’s employees act at all times with integrity and in an ethical manner, and to ensure that FINRA responds diligently to supervisory reviews and findings, responding appropriately to supervisory findings and maintaining strong relationships with our supervisors.

Essential job functions of the Chief Compliance Officer include: Coordinate and review the compliance of FINRA as a regulated organization Ensure that FINRA’s operational departments develop and implement strong compliance policies and procedures, through support, monitoring, and testing procedures. Monitor for and coordinate the response to new legal requirements applicable to FINRA (with applicable business units). Review and coordinate FINRA’s recordkeeping requirements (as a member of and coordinating with FINRA’s Records Management Board). Review and coordinate FINRA’s reporting requirements under the securities laws and otherwise. Manage the Code of Conduct and corporate Ethics Program: Supervise the Code of Conduct office, including conducting Code of Conduct investigations. Respond to ethics issues raised through EthicsPoint and other means. Revise Code of Conduct in response to changing ethics standards and to maintain comparability to federal ethics provisions, particularly those of the SEC. Manage the review of ethics reports, requests for waivers, and responses to conflicts by the responsible operating departments, and training on the Code of Conduct. Manage the Office of Oversight Liaison and Counsel: Supervise the office’s preparation and coordination of responses to investigation requests and findings. Manage the liaison program to respond appropriately to supervisory findings and maintain strong relationships with FINRA’s supervisors. Coordinate responses to regulator requests for access to information. Provide input to the Chief Legal Officer on all of the functional areas to address and resolve issues. The Chief Compliance Officer shall be directed and supervised by the Chief Legal Officer and coordinated with respect to administrative matters by the Chief Legal Officer’s Chief of Staff.
Other Responsibilities: Work with the Chief Legal Officer to set the overall strategy of the Offices of the CLO. Lead complex organizational projects and assignments with internal and external impact. Develop and maintain a positive and supportive work environment and culture; develop talent and provide meaningful performance feedback. Develop communications for the CEO. May be required to make presentations to the Audit Committee and Board of Governors. Represent FINRA at public speaking events, as needed. Oversee, lead or participate in ad hoc special projects and initiatives, as requested. The Chief Compliance Officer would not be responsible for the effectiveness of performance of legal requirements outside its direct supervisory responsibilities; the effectiveness of examination, inspection, surveillance, or enforcement programs; or the accuracy of financial or budgetary processes.
Qualifications
Education/Experience Requirements: Law degree from an accredited law school, admission to a bar, and 10+ years of legal experience regarding compliance with financial institution regulation; 10+ years of experience in overseeing compliance functions in a registered broker-dealer or supervision of compliance functions by a government agency or self-regulatory organization; or 10+ years of providing detailed compliance guidance in a consulting role to financial institutions; or 10+ years in a combination of the functions. A minimum of 5 years supervisory experience. Advanced knowledge of securities industry rules and regulations, financial markets, and brokerage firm operations is desirable. Excellent oral and written communication skills. Excellent leadership and interpersonal skills. Working Conditions: Normal office conditions. Occasional travel may be required. Extended hours are frequently 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. Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly. 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. 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. About FINRA FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers. FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage. In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets. FINRA operates from Washington, DC, and New York, NY, with other offices around the country. Find out more about us and how we work—and view our current openings—at www.finra.org/careers. 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. ©2019 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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