Senior Level Retail Sales Associate Jobs

INTRODUCTION

The Director, MAP, Equity, Retail, & Capital Formation 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 interdepartmental regulatory initiatives.

ROLE AND RESPONSIBILITIES

• Actively manage and guide application staff in the execution of the Department’s risk-based application program of member firms, in compliance with FINRA’s Standards of Admission as noted in FINRA Rule 1014 and processes outlined in FINRA Rule 1017, and other department goals and policies.
• Create and facilitate best practices for program execution aligned to organizational and regulatory requirements.
• Provide timely operational status updates and application-level reporting to senior leadership. Monitor established metrics and analytics to enable effective risk-based decision-making and identify opportunities to improve operational effectiveness and efficiency.
• Establish and implement standards to ensure consistent methodologies are in place to guide staff, and prospective or current member firms in the MAP processes aligned with overall needs and expectations.
• Monitor legal and regulatory requirements applicable to the program, providing escalation and recommendations on emerging risks and compliance issues.
• Proactively identify skill gaps and development opportunities for the individual, team and broader program. Partner with key stakeholders in the ideation, development, and adoption of training, resources, and other upskilling tools.
• Lead communications with FINRA personnel and member firms and consultants, including providing effective guidance to member firms, FINRA personnel and others with timely, thorough, and accurate information.
• Manage a team of experienced individual contributors and is accountable for meaningful career development conversations and planning, as well as regular coaching and feedback. Responsible for assessing performance of staff and preparing and delivering performance evaluations. Actively manages the overall team structure through recruiting, interviewing, and retaining staff.
• Participate in the development and execution of the Department’s compliance programs.
• Serve as a presenter or panelist for member conferences and training. Attends conferences related to securities industry rules and regulations.
• Demonstration of FINRA's values.
• Collaboration, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity.

BASIC QUALIFICATIONS

• Bachelor’s degree is required. Major in Finance, Accounting, Business Administration, or related field preferred; advanced degree preferred.
• A minimum of ten (10) years of regulatory experience, with a minimum of two years of people leadership experience.
• Advanced knowledge of securities industry rules, regulations and guidelines and significant experience in a directly related securities industry.
• Strong collaborator and team builder, with excellent written and verbal communication, interpersonal, and presentation skills.
• Strong organizational skills, with an ability to manage multiple complex assignments concurrently and execute against tight deadlines.
• FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.

PREFERRED QUALIFICATIONS

• Hybrid work environment, with defined in-person presence requirements.
• Travel and extended hours as required.

COMPENSATION

For work that is performed in Los Angeles and San Francisco, CA, CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. 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 market considerations.

• Los Angeles, CA: Minimum Salary $176,000, Maximum Salary $264,000
• San Francisco, CA: Minimum Salary $184,000, Maximum Salary $276,000
• CO/FL/TX: Minimum Salary $134,400, Maximum Salary $260,400
• IL/PA: Minimum Salary $147,600, Maximum Salary $286,500
• MA/MD/VA/Washington, DC: Minimum Salary $154,400, Maximum Salary $299,600
• NY/NJ: Minimum Salary $154,400, Maximum Salary $312,600

BENEFITS

Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.

TIME OFF AND PAID LEAVE

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

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 Employer

All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law.

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 Employee Relations team at 240-386-4865 or by email at EmployeeRelations@FINRA.org. Please note that this process is exclusively for inquiries regarding accommodations in the application process.

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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