Director, MAP, Custody, Trading, & Markets

Director, MAP, Custody, Trading & MarketsProvides operational leadership for the membership application process related to FINRA filings, including new and continuing membership applications, materiality consultations, principal waivers, and membership agreement updates.ResponsibilitiesActively manage and guide application staff in executing the department’s risk‑based application program in compliance with FINRA Rule 1014, Rule 1017, and other relevant policies.Create and facilitate best practices for program execution aligned with organizational and regulatory requirements.Provide timely operational status updates and application‑level reporting to senior leadership.Monitor metrics and analytics to support risk‑based decision‑making and identify opportunities to improve operational effectiveness and efficiency.Establish and implement standards to ensure consistent methodologies for staff and prospective or current member firms in MAP processes.Monitor legal and regulatory requirements, escalating and recommending on emerging risks and compliance issues.Identify skill gaps and development opportunities for the team and the broader program.Partner with stakeholders in the ideation, development, and adoption of training, resources, and upskilling tools.Lead communications with FINRA personnel, member firms, and consultants, providing effective guidance and accurate information.Manage a team of experienced individual contributors, conduct performance evaluations, and support career development conversations.Recruit, interview, and retain staff to maintain a high‑performing team structure.Participate in the development and execution of the department’s compliance programs.Serve as a presenter or panelist for member conferences and training, and attend industry events related to securities rules and regulations.QualificationsBachelor’s degree in Finance, Accounting, Business Administration, or a related field (advanced degree preferred).Minimum of ten (10) years of regulatory experience, with at least two (2) years of people‑leadership experience.Advanced knowledge of securities industry rules, regulations, and guidelines, with significant experience in a directly related securities industry.Strong collaboration and team‑building skills, excellent written and verbal communication, interpersonal, and presentation abilities.Strong organizational skills, with the ability to manage multiple complex assignments concurrently and execute against tight deadlines.FINRA Securities Industry Essentials (SIE) certification required upon hire or within 16 months of the start date of the assigned SIE training cohort.Work ConditionsHybrid work environment with defined in‑person presence requirements.Travel and extended hours as required.Equal Opportunity Employer StatementFINRA is an Equal Opportunity Employer. All qualified applicants receive consideration for employment without regard to race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law.
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