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FINRA is seeking a well-qualified individual for our Associate Director opening in the Office of Risk in Washington, DC or New York, NY. To be considered for this position, please submit your resume through our career site at . No phone calls please.

Job Summary:
Provide substantial support, including strategic leadership, to the Director of Operational Risk in the overall planning, management and administration of the operational risk management program for the Regulatory Operations. This role is responsible for the design, development, enhancement, and implementation of key risk management operations for the Regulatory Operations units.

The incumbent will be responsible for collaborating with Regulatory Operations executives to expand the program to their business operations and ensuring understanding and acceptance of the framework by all internal parties.

The incumbent is expected to use industry knowledge to independently create new and innovative solutions to new and existing complex issues.

The incumbent actively:

* supports the development of an ongoing process to identify risks embedded in FINRA regulatory operations and define both quantitative and qualitative measurement methods;

* identifies impacted stakeholders and actively support the development of an ongoing change management strategy to facilitate acceptance and manage risks;

* supports the production of robust risk based analytics, models and tools across multiple dimensions of interest to FINRA regulatory operations units;

* identifies the data required to support risk measurement methods and approaches and help to articulate a prioritized data acquisition strategy.

* designs and delivers actionable risk intelligence for internal consumers of risk analytics working with large volumes of data;

* supports communication and engagement with domestic and foreign government agencies, regulatory organizations, exchanges, and regulated firms on the topic of risk management and FINRA's own risk framework; and

* participates in, and support national initiatives as requested by departmental management.

This is a highly, specialized, senior level professional position acting with limited supervision and guidance.

Essential Functions:

Education/Experience Requirements:

Bachelor's degree in economics, finance, or risk management and at least (9) years of risk management experience working at a financial institution (broker-dealer, bank or bank holding company, hedge fund or asset manager) or consulting firm specializing in risk management required. Advanced degree preferred. Advanced knowledge and practice of business intelligence and risk measurement and management industry practices, capabilities and data issues.

Advanced knowledge of securities markets, sales and trading activity, brokerage firm operations, risk data and books and records is desirable. Working knowledge of Basel II / Basel III, Dodd-Frank and securities law is desirable.

In addition, candidates must possess:

* Experience using project management tools to drive results.

* Effective leadership and team skills, including the ability to deal effectively with people, resolve issues, and support

* Mastery of MS Office Tools (Excel, Access, PowerPoint and Word). Working knowledge of leading risk or BI tools desirable

* Ability to work independently under tight timelines

* Ability to work in a team based environment and manage multiple priorities

* Ability to think creatively and design and implement solutions to challenging problems

* Excellent written and verbal communication skills.

Working Conditions:

Work is normally performed in an office environment.

Some travel is required.

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.

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.

Please note: 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. As standard practice, employees must also complete FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism.

About FINRA

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect America's investors by making sure the securities industry operates fairly and honestly. All told, FINRA oversees nearly 4,600 brokerage firms, about 164,000 branch offices and approximately 632,000 registered securities representatives.

FINRA's independent regulation plays a critical role in America's financial system and 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. We also perform market regulation under contract for the major U.S. stock markets, including the New York Stock Exchange, NYSE Arca, NYSE Amex, The NASDAQ Stock Market and the International Securities Exchange.

FINRA has approximately 3,000 employees and operates from Washington, DC, and New York, NY, with 20 regional offices around the country.

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.

Find out more about us and how we work-and view our current openings-at .

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

©2013 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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