Sr Director, Fixed Income Regulation

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The Senior Director in Fixed Income Regulation is responsible for providing leadership, oversight, and supervision of FINRA's regulatory program for fixed income securities.

As FINRA's primary liaison to the Municipal Securities Rulemaking Board (MSRB) and the Securities and Exchange Commission (SEC) Office of Municipal Securities, the Senior Director provides expert-level application and guidance of MSRB rules to support FINRA's fulfillment of its examination and enforcement obligations under the Securities Exchange Act with respect to those rules.

The Senior Director is responsible for maintaining strong working relationships with internal and external constituent groups, such as the SEC, MSRB, member firms, industry advocacy organizations, or other interested parties to ensure that FINRA's fixed income regulatory program is transparent and informed by regulatory and marketplace developments.

Essential Job Functions :

Leads and manages FINRA's relationships with other regulatory authorities, including the SEC's Office of Municipal Securities and MSRB in connection with rulemaking, examination, and enforcement related to municipal securities;

and collaborates on rulemaking and policy matters that arise.

• Serves as FINRA's point of contact for the fixed income industry particularly municipal securities matters and provides guidance to, and receives feedback from, members on fixed income matters, including as staff liaison to the FINRA Fixed Income Committee, by maintaining strong working relationships with industry trade associations, and by representing FINRA in internal and external forums.
• Provides key technical guidance in the development of FINRA's fixed income examination, surveillance, and enforcement policy.
• Serves as a subject matter expert by directing, coordinating, advising, and collaboratively making recommendations regarding course content and training programs for FINRA staff and other regulatory agencies, such as the MSRB and SEC.
• Briefs and communicates complex and sensitive regulatory initiatives to the Senior Vice President, Capital Markets Policy, and other senior executives of FINRA.

Demonstrates excellent judgement in advising senior executives on key issues impacting fixed income and municipal securities regulation.

• Designs, develops and delivers fixed income guidance to staff across Regulatory Operations, as well as to member firms, including by ensuring consistency of the application of MSRB, FINRA, and SEC rules with respect to fixed income examination and enforcement matters, creating and implementing examination policies and procedures, and directing the development of data-driven risk assessments and examination processes and techniques.
• Monitors and identifies external and internal fixed income rulemaking and rule amendments, or other regulatory trends or intelligence that affect the national fixed income examination program.

Education / Experience Requirements :

• Bachelor's degree with a major in Finance, Accounting, Business Administration, or related field preferred and a minimum of ten (10) years of directly related securities industry or regulatory experience required.
• Advanced degree preferred.
• Requires excellent written and verbal communications skills, including interpersonal and presentation skills.
• Highly advanced organizational skills with excellent attention to detail, including an ability to work quickly on multiple time-sensitive matters with a sense of urgency.
• Ability to use MS Office applications (Word, Excel, Outlook) required.

Working Conditions :

• Normal office conditions.
• Occasional travel and extended hours may be required.
• Public speaking and appearing at regulatory conferences are required.

For work that is performed in CA, Washington DC, CO, HI, New York, NY and WA, the chart below outlines the proposed salary range for the corresponding location.

In addition to location, actual compensation is based on various factors, including but not limited to, the candidate's skill set, level of experience, education, and internal peer compensation comparisons .

California : Minimum Salary $171,900, Maximum Salary $351,200

Washington DC : Minimum Salary $171,900, Maximum Salary $336,600

Colorado / Hawaii : Minimum Salary $149,600, Maximum Salary $292,600

New York, NY : Minimum Salary $179,600, Maximum Salary $351,200

Washington State : Minimum Salary $149,600, Maximum Salary $336,600

LI-Hybrid

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.

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finra.org / careers into your browser to reach our site directly.

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 Employee Relations team at 240.

386.4865 or by email at [email protected]. Please note that this process is exclusively for inquiries regarding application accommodations.

Employees may be eligible for a discretionary bonus in addition to base pay. FINRA provides comprehensive health, dental and vision insurance.

Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse / domestic partner and dependent life, and spouse / domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal.

FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement and many other benefits.

Time Off and Paid Leave*

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days (all pro-rated in the first year).

Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule).

Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment);

and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

Based on full-time schedule

Important Information

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.

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