Manager - CAT Compliance
- Rockville, MD
The Manager assists management in the planning, development, and implementation of regulatory programs related to area of expertise through a leadership role in a team-oriented environment.
Essential Job Functions:
- Leads the development and progression of major complex investigations into manipulative trading activity.
- Directly supervises staff and reviews staff memoranda and analytical work product.
- Provides recommendations to senior management in identifying and anticipating regulatory issues that impact the role and responsibilities of the team, and developing plans to address these issues.
- Implements regulatory plans in conjunction with senior management by coordinating staff to accomplish goals.
- In partnership with senior managers, responsible for the budgeting, recruitment, training, and development of staff pursuant to regulatory and business plans.
- Interfaces individually and in group settings with department Senior Management, major constituencies, including staff, members, issuers, the SEC, the general public, and other regulatory personnel. Interacts directly with RSA clients and assists in ensuring the teamâ€™s compliance with Statement of Work (SOW) expectations for the individual RSA clients.
- Assesses goal accomplishment and evaluates staff performance, including the administering of performance reviews; manages personnel matters.
- Bachelorâ€™s degree in Finance, Economics, or Business or equivalent work experience; advanced degree preferred.
- Minimum 5 years of business experience with at least 2 years of directly related experience required.
- Advanced degree may be considered in lieu of business experience.
- A working knowledge of relevant rules and regulations enforced by FINRA pertaining to manipulation and supervision.
- Excellent written and oral communication skills.
- Demonstrated ability to interface effectively with management, peers, and other constituencies to accomplish the missions and goals of Market Regulation.
- Proven ability to manage projects and work independently to bring projects to completion in a fast paced environment.
- Demonstrated ability to provide excellent internal/external customer service.
- Ability to work under pressure.
- Attention to detail is essential.
- Strong verbal and written communication skills and technical capabilities are essential to position.
- Some travel may be 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.
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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.
FINRAâ€™s Code of Conduct imposes restrictions on employeesâ€™ 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 Codeâ€™s investment and securities account restrictions, and new employees must comply with those investment restrictionsâ€"including disposing of any security issued by a company on FINRAâ€™s Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentâ€"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 FINRAâ€™s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the companyâ€™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.
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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 personâ€™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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