Senior Vice President, National Cause Program - All FINRA Locations
The individual in this senior level role will be a key member of Member Supervision's National Cause & Financial Crimes Detection Programs leadership team and provide critical leadership in overseeing the intake, risk assessment, and investigation of cause matters involving potential fraud or other serious misconduct from various sources including regulatory filings, investor complaints, tips, referrals, and other regulatory sources.
This individual is also responsible for driving greater coordination between the three separate but related Cause functions to achieve greater efficiencies and enable greater national consistency to handling cause matters.
For Internal Candidates - we are considering VP Level and above only for InterviewEssential Job Functions:
Lead and manage a team of experienced professionals who are responsible for reviewing and investigating cause matters as expediently as practical given the regulatory significance, with a focus on aligning staff talent, knowledge and skills with the subject and complexity of the matter.
Develop strong working relationships with leaders throughout Member Supervision and other departments within FINRA, the SEC, and other external regulatory and law enforcement agencies.
Oversee the timely referral of matters to Enforcement and external regulatory and law enforcement agencies as appropriate.
Streamline the intake, risk assessment, and investigative processes handled by the groups within the National Cause Program.
Lead the development of an oversight process to assess consistency, timeliness, and quality of investigations, referrals, and closure of matters.
Create management reporting that tracks key operational metrics including matter types reviewed, matter disposition, and referrals to other FINRA departments, the SEC or other regulatory agencies, and create reporting that identifies emerging regulatory trends and patterns.
Create and maintain a strongly collaborative working environment and improve the flow of information to risk monitoring and/or examination staff to inform a more comprehensive view of a member firm and its associated persons.
Create training or knowledge sessions for risk monitoring and examination personnel that focuses on fraud detection and investigation techniques.
Attract, develop and retain top talent.
Foster and promote an inclusive and innovative workplace and empower and support the workforce.
Serve on internal and external committees and task forces.
Represent FINRA at conferences and other public speaking events.
Recommended Skills Finance Innovation Law Enforcement Leadership Metrics Public Speaking Estimated Salary: $20 to $28 per hour based on qualifications.
This individual is also responsible for driving greater coordination between the three separate but related Cause functions to achieve greater efficiencies and enable greater national consistency to handling cause matters.
For Internal Candidates - we are considering VP Level and above only for InterviewEssential Job Functions:
Lead and manage a team of experienced professionals who are responsible for reviewing and investigating cause matters as expediently as practical given the regulatory significance, with a focus on aligning staff talent, knowledge and skills with the subject and complexity of the matter.
Develop strong working relationships with leaders throughout Member Supervision and other departments within FINRA, the SEC, and other external regulatory and law enforcement agencies.
Oversee the timely referral of matters to Enforcement and external regulatory and law enforcement agencies as appropriate.
Streamline the intake, risk assessment, and investigative processes handled by the groups within the National Cause Program.
Lead the development of an oversight process to assess consistency, timeliness, and quality of investigations, referrals, and closure of matters.
Create management reporting that tracks key operational metrics including matter types reviewed, matter disposition, and referrals to other FINRA departments, the SEC or other regulatory agencies, and create reporting that identifies emerging regulatory trends and patterns.
Create and maintain a strongly collaborative working environment and improve the flow of information to risk monitoring and/or examination staff to inform a more comprehensive view of a member firm and its associated persons.
Create training or knowledge sessions for risk monitoring and examination personnel that focuses on fraud detection and investigation techniques.
Attract, develop and retain top talent.
Foster and promote an inclusive and innovative workplace and empower and support the workforce.
Serve on internal and external committees and task forces.
Represent FINRA at conferences and other public speaking events.
Recommended Skills Finance Innovation Law Enforcement Leadership Metrics Public Speaking Estimated Salary: $20 to $28 per hour based on qualifications.
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