Job Description:

Responsible for building and leading Member Supervision’s National Cause and Financial Crimes (NCFC) - Complex Investigations and Intelligence Section’s (CII) Office of Foreign Assets Control (OFAC) & U.S. Law Enforcement Engagement program. As a key member of the CII’s leadership team, the Senior Director will partner closely with CII’s Special Investigation Unit (SIU), Member Supervision’s Firm Exam and Risk Monitoring Program, Office of Regulatory Liaison (ORL), Office of General Counsel (OGC), and FINRA’s Government Affairs Group. Moreover, the Senior Director will serve as the primary liaison and representative for Member Supervision in developing and maintaining strong working relationships with OFAC and other Federal Law Enforcement agencies. This role will lead a department-wide advisory function providing strategic advice to Member Supervision Leadership regarding U.S. Sanctions requirements and changes. The Senior Director will serve as the subject matter expert and central point of contact for all OFAC-related issues.

Essential Job Functions:

• Build and implement FINRA’s OFAC sanctions regulatory program and provide advice to Member Supervision’s Firm Exam and Risk Monitoring programs.


• Serve as a subject matter expert related to OFAC and U.S. Law Enforcement connection to FINRA regulatory functions and share that subject matter expertise with Member Supervision to identify opportunities for collaboration and sharing of intelligence.


• Provide guidance on complex sanctions policy, procedures, and legal analysis on the impact of new sanction regimes on member firms.  Monitor for new developments from OFAC and provide guidance to Member Supervision and firms on the impact.


• Build strong and trusting relationships with OFAC & U.S. Law Enforcement in order to expand collaboration and sharing of intelligence related to common threats.
  
  
  • Take a strategic approach to leading and proactively developing and managing interactions with OFAC & U.S. Law Enforcement.
  
  
  • Interact confidently, effectively, and autonomously with executive level leaders from OFAC and U.S Law Enforcement agencies.
  
  
  • Based on observations and experience, provide ongoing strategic advice to senior management in Member Supervision on developing and improving FINRA’s relationships with OFAC and U.S. Law Enforcement.
  
  
  • Manage all aspects of regularly scheduled and ad hoc meetings with OFAC and U.S. Law Enforcement to ensure agreed upon objectives are achieved. This includes, determining appropriate meeting participants, preparing attendees on how to tailor the discussion to the audience, providing relevant information in advance of the meetings, preparing high quality and informative decks to be produced, and debriefing to refine approach to future meetings.
  
  
  
  

• Attend industry meetings including but not limited to issues involving sanctions topics and criminal threats targeting the financial industry.

Education/Experience Requirements:

• Bachelor’s degree required; advanced degree or law degree, preferred.


• 5+ years U.S. government experience, preferably in legal counsel's office, required.


• Experience interfacing with government agencies having jurisdiction over compliance risk areas, as well as threats from hostile foreign countries and foreign criminal actors.


• Experience providing advice and counsel on legal, policy, and compliance matters. 


• Demonstrated ability to interact effectively and in a positive manner with management, peers, and other constituencies to accomplish the mission and goals of Member Supervision.


• Highly collaborative team player who values working in a team environment.


• Demonstrated ability to produce high-quality written work product.


• Highly advanced written and verbal communication skills, including outstanding interpersonal and presentation skills.


• Highly advanced organizational skills with excellent attention to details, including an ability to work quickly on multiple time-sensitive matters with a sense of urgency.

Compensation Range for Colorado locations

Annual Salary: $136,200.00 - $201,400.00

#LI-Hybrid

To be considered for this position, please submit an application.

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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Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.

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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.

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