Reporting directly to Vice President, Member Supervision Operations, Procedures and Standards, provides strategic leadership and guidance and establishes procedures and standards across the program as well as advising and collaborating with various groups conducting reviews of the program including the SEC, Internal Audit and Quality Assurance for the program. This includes developing controls and metrics to monitor program execution and effectiveness. Essential Job Functions: Provide a robust operational risk framework within First and Second Lines of Defense. Spearheading operational risk event/incident remediations and escalations, key procedural control assessments, refinements, and monitoring. Oversee the development and implementation of procedures and technology necessary to address ongoing needs of the Program across all Firm Groups. Lead efforts to develop, maintain and continually enhance Compass procedures, Guidance, as well as associated job aid examples relating to the program. Periodically assess practices and determine if a need exists for a procedure to be developed or updated. Lead the effort to identify, prioritize and resolve, where warranted, areas of inconsistent procedural application within the program. Utilize an inclusive process to determine a course of action correcting the area of concern, or record the reasoning for retaining the inconsistency going forward. Work with MS Business Readiness, Training and/or Communications groups to implement corrective action and receive feedback on effectiveness. Develop and support the strategic leadership approach within the program. Maintain strong working knowledge of developments in the industry and work with management and other departments as needed to evolve the program to address such changes. Develop recommendations for corrective action implementation plans across the program in connection with oversights and lead implementation efforts. Coordinate with other departments in preparing responses, talking points and document productions relating to oversights, access (e.g., SEC, states) and ad hoc information requests relating to the program. Respond to inquiries from, and create and implement resolution plans for, Quality Assurance, Internal Audit and FINRA CCO exams/inquiries and related findings and conclusions. Lead coordinated effort with Data Analytics to continuously develop, implement, and improve periodic, trend and ad hoc reporting including but not limited to monthly program and/or grouping reports for the program. Education/Experience Requirements: Bachelor's Degree or an equivalent combination of education and experience required. Major in Accounting, Finance, Economics, Business Administration, or related fields preferred. MBA, JD, other graduate degree and/or relevant industry certification(s) preferred. Significant securities, compliance or financial regulatory experience. Prior experience in FINRA’s Exam and/or Risk Monitoring program preferred. Advanced analytical skills and experience in the financial industry. Demonstrated experience relating to all inherent industry risks (i.e., Operational, Sales Practice, Fraud and Deception, Money Laundering, Accuracy of Regulatory Capital, Credit, Market, Liquidity, and/or Segregation of Client Assets). Significant experience managing projects and/or people. Knowledge Requirements: Expert knowledge of FINRA's risk hierarchy. Expert knowledge of securities rules and regulations. Expert knowledge of firm business models, business lines, customer bases, products and services. Expert knowledge of FINRA departments and their mandates. Skill Requirements: Self-starter and able to administer very complex assignments concurrently, including unstructured assignments that require autonomy and independent judgement. Advanced Verbal and Written Communication skills. Intermediate-to-Advanced level proficiency in Microsoft Excel, Word, and PowerPoint. Advanced ability to manage time effectively. To be considered for this position, please submit an application. Applications are accepted on an ongoing basis. 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. #J-18808-Ljbffr FINRA
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