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FINRA is seeking a well-qualified individual for our Associate Director, Fixed Income opening 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:

The Associate Director of the Fixed Income Securities Regulation program is responsible for directing FINRA's policies and national programs related to fixed income securities including related regulatory matters in the District Offices. Specifically, the Associate Director is responsible for the design, develop and delivery of fixed income policy guidance to staff in Member Regulation, Enforcement, Transparency Services, Market Regulation as well as member firms. The Associate Director is a key representative in regulatory matters with the Municipal Securities Rulemaking Board (MSRB) and the Securities and Exchange Commission (SEC). The Associate Director is also responsible for recommending dispositions of enforcement and examination cases involving MSRB rule violations, as well as monitoring those cases through to conclusion to ensure policy consistency across all operating departments within FINRA.

Essential Job Functions:

• Directs the national fixed income program for examination policies, procedures and processes and coordinates implementation within FINRA.
• Directs, coordinates, or participates in examiner training programs, as a subject matter expert, related to fixed income securities, and participates in training, as needed, for other regulatory agencies such as the MSRB or SEC.
• Represents FINRA at public forums about fixed income securities to present FINRA policies and provide key technical guidance.
• Manages the MSRB relationship regarding all fixed income policies, rule interpretations, amendments, system development/data delivery, and information transfer.
• Directs and ensures uniform and consistent application of the MSRB and SEC, as well as applicable rules regarding corporate, asset-backed, and government securities.
• Monitors and identifies external and internal fixed income rulemaking and rule amendments that affect the national fixed income examination program and recommends solutions for senior management approval.
• Serves as the business expert to provide advice on the development of fixed income market surveillance processes and techniques.
• Oversees the transfer of information to and from the MSRB, including large amounts of transaction-related data, direct or advise on the development of member firm or examiner compliance tools (e.g. report cards or similar products), and directs staff in fulfilling this responsibility.
• Provides expert leadership and support to FINRA Member Regulation, Market Regulation and Enforcement staff by researching issues. Reviews staff work products to identify and analyze member firm behavior that may present investor protection issues and therefore warrant further investigation or referral.
• Leads or participates in internal and external regulator, or member firm working group meetings to discuss market developments in public finance, transaction reporting such as TRACE expansion, SRO information sharing, and matters of mutual interest.
• Manage and directs new programs for gathering regulatory intelligence.
• Identifies industry trends, products or practices that may raise regulatory concerns, and provides technical expertise to other departments such as product or practices sweeps by EPG or Enforcement.
• Shares regulatory intelligence, identifies resource needs across the organization, and leads these efforts.
• Coordinates cross-departmental responses to emerging issues and formulates policies in response to emerging issues.
• Manages multiple, complex projects at one time.

Education/Experience Requirements:

• A bachelor's degree with a major in Finance, Accounting, Business Administration, or related field preferred; an MBA or J.D. is preferred.
• At least nine years of directly related securities industry or regulatory experience required.
• Advanced knowledge of securities industry rules, regulations and guidelines and significant and equivalent experience in a directly related securities industry position may be substituted for the bachelor's degree.
• Nine (9) accounting credits or demonstrated accounting proficiency required.
• Competence using a desktop computer with the full suite of office software applications is required.
• Excellent writing, communication and interpersonal skills are required.

Working Conditions:

• Work is normally performed in an office environment. Occasional travel may be required.
• Extended hours are frequently required.
• Work environment includes high productivity expectations and tight deadlines.

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

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