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Director, Compliance Program Office

Company: Financial Industry Regulatory Authority, Inc.
Location: Los Angeles
Posted on: September 17, 2020

Job Description:

Director Program Management Jobs in Los Angeles, CA. Responsible for developing and maintaining comprehensive rules to controls identification and assessment framework (controls framework) for Member Supervision in coordination with the Office of Ethics and Compliance, Chief Compliance Officer (CCO office). Serve as the central point of contact responsible for managing overall efforts to implement and maintain the controls framework for all of Member Supervision.. Essential Job Functions:. Responsible, on behalf of Member Supervision, for the development, implementation and maintenance of the new Compliance program required by the CCO Office and working collaboratively with senior leaders in other FINRA functions on the integration of Member Supervision efforts with enterprise aspects of the Compliance program.. Assess current state, identify gaps, design and own ongoing evaluation of controls framework for Member Supervision. This includes:. Developing standards, policies and procedures for Member Supervision functions to. Identifying applicable rules and controls,. Assessing controls,. Determining impact of rule changes to controls,. Identifying issues,. Mitigating and track issue resolution,. Report on status, issues and trends coming from the controls framework results,. Maintaining and update the data, and. Developing technology business requirements to maintain and manage data and processes.. Be accountable for independently leading, overseeing and being the central point of contact for SVPs and heads of each Member Supervision functional area in the implementation of the controls framework by. Providing methodology, technical and subject matter expertise on rules and controls identification and assessment processes,. Developing and training Member Supervision staff on controls framework requirements and processes,. Working with SVPs and heads of each functional area and their staff to complete the rules and controls identification and assessment through an end-to-end process review,. Maintaining processes to update rules and controls on a timely basis,. Critically assessing the sufficiency and viability of proposed remediation efforts to resolve issues and enhance controls to prevent overlap/conflict; promoting compliance and alignment with overall Member Supervision strategy in the most efficient and effective manner, taking resources into consideration.. Tracking and following up on remediation and action plans and escalating to Member Supervision senior management, where necessary, and. Analyzing data and identifying risk and control trends from the assessment work.. Education/Experience Requirements:. Bachelor's Degree. Major in Accounting, Finance, Economics, Business Administration or related fields preferred. JD a plus.. Expert knowledge of relevant rules applicable to FINRA and for which FINRA has oversight responsibility for.. Holistic and technical understanding of FINRA and Member Supervision processes desirable.. Significant knowledge and experience analyzing securities regulation, designing, implementing and optimizing compliance processes, and working with technology to automate such processes.. Significant experience with controls management and assessment desirable.. Significant experience managing enterprise, department or regional level cross-functional projects.. Experience with aligning business and operational activities with high level strategy.. Experience and detailed understanding of Governance, Risk and Controls systems, incident or issue and action management systems and management reporting.. Skills Requirements:. Ability to interact professionally and confidently with management and staff at all levels.. Excellent process analysis, particularly front-to-back process flows.. Expert critical thinking and analytical skills.. Ability to see the big picture but can give a high level of attention to detail.. Advanced organizational skills.. Consistently works independently with limited supervision.. Consistently manages time effectively, completes assignments within budgeted time-frames and makes timely decisions.. Expert relationship building skills.. To be considered for this position, please submit an application.. 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.. 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 and Affirmative Action Employer. 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 person’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.. Get alerts to jobs like this, to your inbox.

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Keywords: Financial Industry Regulatory Authority, Inc., Los Angeles , Director, Compliance Program Office, Other , Los Angeles, California

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