Director, Risk Monitoring

## Director, Risk Monitoring Apply:
Woodbridge, NJ (Job Posting):
Jericho, NY (Job Posting):
Denver, CO (Job Posting):
Chicago, IL (Job Posting):
Boston, MA (Job Posting):
Full time:
Posted Today:
R-010263

To ensure the implementation and completion of the Risk Monitoring Program for a specific Organizational Business Model or Business Segment through daily management of Risk Monitoring Analysts.
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* Essential Job Functions:

*** Actively supervises the activities of Risk Monitoring Analysts in their conduct of risk monitoring activities, front-line responsibility for timeliness, precision and quality of risk assessments, related reports, intelligence, and regulatory responses shared with Risk Monitoring, Examinations and other departments for a portfolio of firms within an Organizational Business Model or Business Segment.
* Oversees development of risk-based Regulatory Responses that address identified risks and evaluation of the adequacy of firm corrective actions to assist with Examination Strategy.
* Implements and provides direction on the goals and objectives for a risk monitoring program specific to firms in an Organizational Business Model or Business Segment’s Risk Monitoring team, effectively collaborates and coordinates with aligned Risk Monitoring leadership, while managing activities of downline staff to ensure the goals and objectives are met.
* Ensures exam strategy includes applicable risks and that corrective action is taken.
* Day-to-day management, directing completion and outcome of continuous real-time risk identification for a portfolio of member firms. Ensures the accurate prioritization risk, through an understanding of firm business activities, the risks associated with those business activities and the controls in place to mitigate those risks; oversees development and execution of regulatory responses (i.e., firm meetings, exams, heightened supervision, etc.).
* Serves as a primary resource to the Senior Director for updates; responsible for identifying and surfacing key or emerging issues within business segments, and briefings on current firm information. Actively communicates, supports and implements corporate, department and team decisions.
* Responsible for overseeing coordination with Membership Application Program (MAP) group, timeliness and quality of risk monitoring work in MAP applications, and resolving other material business changes. In addition, represent the Organizational Business Model/Segment in complex and elevated risk FINRA member interviews.
* Develops and coaches Risk Monitoring staff, to include development plans, performance evaluations, and overall performance management.
* Serves as a proxy for the Senior Director as needed in meetings on firms or examinations, as well as day-to-day interactions with external regulatory agencies and other related stakeholder organizations.
* Along with risk monitoring senior management, responsible and accountable for the process of interviewing, onboarding and retaining staff.
* Participates in industry conferences and meetings in support of FINRA outreach initiatives.
* Manages and provides direction to support special projects, surveys, committee assignments and technology initiatives impacting Risk Monitoring (i.e. the identification of technology needs by Risk Monitoring and the development of Business Requirements).
* Demonstration of FINRA’s values.
* Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.
** Education/Experience Requirements:
*** MBA, JD, other graduate degree and/or relevant industry certification(s) preferred.
* Bachelor's Degree or an equivalent combination of education and experience required. Major in Accounting, Finance, Economics, Business Administration, or related fields preferred.
* Demonstrated advanced working knowledge of the securities and/or financial-related industry required with substantive experience related to a FINRA firm grouping preferred.  Has participated in or led Finance or Business specific projects, directing Associates;
Can lead a variety of projects across multiple disciplines/businesses.
* FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.  
** Knowledge Requirements:
*** Strong working knowledge of securities industry rules, regulations and related guidelines, including:
* Advanced…