Description
FINRA seeks a Senior Director to lead its Testing and Risk Optimization team within Surveillance Optimization and Innovation and Regulatory Operations. The role directs strategy and daily operations, oversees surveillance-tool testing and risk optimization, manages program risks and quality controls, coordinates regulatory policies and surveillance enhancements, leads cross-functional regulatory initiatives, and represents FINRA with internal and external stakeholders. It requires a bachelor’s degree or equivalent, at least 10 years in the securities or financial services industry, at least 5 years of supervisory experience, knowledge of FINRA/MSRB/SRO rules and the Securities Exchange Act, project and process improvement expertise, surveillance lifecycle knowledge, data analytics experience including Power BI and Dataiku, strong communication and presentation skills, and SIE certification or an equivalent.
