Financial Industry Regulatory Authority
Washington, District of Columbia
FINRA, the self-regulator of broker-dealers, protects investors, promotes capital formation and safeguards the markets – all at no cost to American taxpayers. Only the official, verified social media accounts for FINRA are authorized to represent FINRA’s views. Any opinions or statements expressed on other accounts do not reflect the views of the organization.
Hybride · Quinte West
Lead high-complexity investigations into crypto asset activities and tokenized securities of FINRA member firms. Serve as a subject matter expert by providing training, intelligence sharing, and guidance on blockchain technology and emerging threats.
Hybride · Quinte West
Acts as a strategic advisor on market structure and Regulatory Service Agreements (RSA) to guide senior leadership on regulatory developments. Coordinates cross-functional policy implementation and represents the organization in high-level regulatory forums and strategic initiatives.
Hybride · Quinte West
Provides high-level administrative support including drafting correspondence, managing records, and preparing complex presentations. Coordinates schedules, travel arrangements, and meeting logistics for senior officers and directors.
Hybride · Quinte West
Serves as a strategic advisor to the EVP of Enforcement, shaping strategic direction and overseeing core operational functions. Leads teams including the Central Intake Group and Forensic Investigation unit to ensure regulatory mission effectiveness.
Hybride
The Director, MAP, Custody, Trading, & Markets is responsible for oversight of the membership application process relating to matters filed with FINRA, which includes new and continuing membership applications, materiality consultations, two principal waivers, and membership agreement updates. This is a senior-level professional position providing operational leadership for management of the program, supervising analysts of all levels, defining assigned roles, increasing staff skills, and providing the staff with expert guidance on escalated matters. The Director will also collaborate on inte…
Sur place
The Strategy, Data & Tech Senior Director Program Delivery Lead is a strategic leader responsible for establishing and executing the muti-year program and portfolio delivery strategy for RegOps. This role manages the Program Delivery team to deliver transformative Regulatory Operations initiatives, objectives, key results, and deliverables, in collaboration with the business sponsors, owners, subject matter experts, Technology, the Enterprise Strategy Group (ESG), and other key stakeholders. This role is accountable for (1) establishing communications strategic vison regarding key initiatives…
Hybride · Quinte West
Independently reviews public communications from firms to ensure compliance with FINRA, SEC, MSRB, and SIPC advertising regulations. Mentors staff by monitoring work quality and providing training and coaching on complex regulatory reviews.