FINRA

General Counsel

• Render senior-level legal advice and support on regulatory initiatives
• Advise the Board of Governors and FINRA advisory committees
• Assist in briefing complex regulatory initiatives to senior executives
• Prepare(Board materials, rule proposals, and filings to the SEC
• Conduct economic impact assessments of rulemakings
• Meet with senior staff of SEC and industry groups
• Prepare Regulatory Notices and correspondence with member firms
• Conduct research into regulatory policy matters
• Identify and present solutions for changes to existing rules
• Collaborate with FINRA advisory committees and stakeholders

Assistant General Counsel, Regulatory

Vice President

• Leader for Firm Grouping who will set multi-year strategic plan
• Manage priorities to Member Supervision goals and vision
• Work closely with cross-functional partners outside Member Supervision
• Integrate Examination efforts with Regulatory Operations
• Ensure connectivity and partnership with Member Supervision’s centralized and support functions
• Provide strategic leadership and oversight to Examination Program
• Ensure timeliness, effectiveness, and appropriate tailoring of examinations
• Ultimate responsibility for understanding, identifying, and addressing industry trends
• Responsible for determining firms for the annual exam plan
• Coordinate with Risk Monitoring Management to execute examination plan
• Collaborate with other Examination Vice Presidents and senior directors
• Determine examiner capacity and skill levels
• Establish strategic goals and objectives for examination program
• Partner closely with Examinations Senior Leadership for updates and metrics
• Participate in budgeting and forecasting for Firm Group
• Provide updates on key exam issues
• Ensure effective communication across Examinations, Member Supervision, and FINRA
• Manage Firm Group support for corporate, group, and department strategic goals
• Identify areas of changing risk or concern for communication to Member Supervision

Vice President – Diversified Carrying and Clearing Examinations Firm Group Lead

• Render senior-level legal advice and support in connection with the complete life cycle of the adoption of new regulatory initiatives
• Advise the Board of Governors and FINRA advisory committees on regulatory initiatives and rule changes
• Prepare Board materials with sophisticated analyses and discussions of policy or political considerations
• Review and draft new rule proposals with independence and prepare rule filings to the SEC
• Conduct economic impact assessments of rulemakings with Regulatory Economics and Market Analysis

Compliance

• Leads the overall operations and execution of the Capital Markets, Fixed Income Specialist and Compliance teams consisting of over 120 examiners and managers
• Set multi-year strategic plan, manage priorities to Member Supervision goals and vision
• Work closely with cross-functional partners outside Member Supervision
• Integrate Examination efforts with Regulatory Operations
• Monitor exam plan progress
• Develop and oversee the performance of the Compliance Team
• Coordinate execution of compliance testing exams
• Provide guidance, leadership, and support to Examination teams
• Ensure the Capital Markets, Compliance and Fixed Income Specialist teams actively coordinate with Risk Monitoring and other Member Supervision Programs
• Manage Exam Program budgeting and forecasting

Vice President, Capital Markets, Fixed Income, Compliance Testing

Manager

• Supervise and mentor facilities staff including performance management and team coordination
• Oversee day-to-day facility operations including maintenance, repairs, and operational changes
• Manage space allocation, inventory, and interior renovations to optimize workplace utilization
• Partner with CRE leadership to develop and manage comprehensive operating budgets
• Initiate and manage all facility-related contracts including vendor selection and bidding
• Ensure adherence to local, state, and federal regulations through facility inspections

Corporate Real Estate Manager

Analyst

• Leads and manages sophisticated studies, creation of requirement specifications and business program projects
• Conducts high-level research and analyses of complex business-related issues
• Assists with training of MRTS staff on the Metrics and Reporting process
• Ensures collaboration and coordination with the RSM team and Regulatory Operations staff
• Develops alternatives, enhancements, and solutions to maximize effectiveness and efficiency

Senior Principal Analyst, MRTS Metrics and Reporting

• Educating and consulting advisors and staff, as well as Commonwealth employees, on a broad range of compliance topics, from compliance policies and procedures, verbally and in writing
• Ability to track and follow up on high volumes of cases
• Providing phone queue support for general compliance inquiries by advisors and home office staff
• Building relationships with our financial advisors and their staff by consistently providing the highest level of service
• Assisting in tracking and analyzing regulatory reporting requirements
• Conducting written and verbal inquiries of associated persons’ activities relating to the review of outside and firm-based activities
• Conducting a variety of compliance functions in support of the Compliance Operations team
• Working on exception-based reports designed to monitor the activities of affiliated advisors and their staff
• Identifying and escalating issues to Compliance Operations management, as well as proactively offering recommendations and solutions to address them
• Seeking out process inefficiencies with the Compliance Operations management team and proactively suggesting technological or operational improvements, as well as a plan for implementing them
• Upholding Commonwealth’s legacy of providing indispensable service to advisors and their staff

Compliance Associate

Human Resources

• Provides expert level advice and counsel to senior business leaders on HR operations and functional strategy
• Leads the design, development and execution of HR operational programs including intake, governance, and service levels
• Manages multiple HR Operations teams including HR Shared Services operations and PMO
• Ensures alignment with corporate and HR strategy by establishing metrics to assess initiatives, programs, and projects
• Works cross-functionally across all areas of the business including support of non-delivery aspects of in-person training/events
• Leverages quantitative and qualitative analysis for decision making and recommendations
• Assesses and defines use of metrics to drive outcomes and inform decisions
• Manages the operational budget and oversees People Solutions vendor contracts, licenses, and purchase orders
• Leverages systems and technology and makes recommendations to increase efficiency and simplify processes
• Develops and maintains business continuity plans for HR operations
• Builds and maintains effective working relationships with all levels of management to inform program design and implementation
• Coaches, develops, and manages direct team members to build organizational capability and ensure service excellence
• Serves as subject matter expert across the HR function and may present to senior business leaders; serves as alternate or backup to VP when required
• Stays abreast of industry trends and recommends actions based on implications

Director, Human Resources – Operations

Risk

• Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director
• Senior-level position reporting to a Risk Monitoring Director and supports that manager in identifying existing and emerging risks
• Conducts risk monitoring activities, including complex or elevated risk firms, with guidance and minimal supervision
• Collaborates with internal departments to analyze, communicate and make recommendations with respect to regulatory intelligence
• Mentor and coach more junior level risk monitoring staff
• Serve in leadership roles related to special projects and technology initiatives
• Perform as part of a team conducting monitoring (including coordination with specialists) to execute against risks of assigned firms
• Interact with internal and external parties as part of monitoring and assessments

Principal Analyst, Risk Monitoring – Capital Markets

Chief of Staff

• Oversee or lead a variety of cross-functional initiatives and special projects to advance strategic priorities in support of organizational objectives
• Establish project scope and timeline, define measures of success, and manage the team(s) through successful completion of the initiative(s)
• Work closely with OCLO executive and senior leadership to oversee the effective, efficient, and timely implementation of OCLO core functions
• Create and maintain reports, project plans and metrics to support and inform executive and senior leadership oversight of OCLO
• Support development and implementation of OCLO’s organizational strategy, including staffing processes, talent development programs, compensation planning, and other organization-wide People Solutions initiatives and projects
• Monitor monthly, quarterly, and annual budgets pertaining to OCLO
• Develop and oversee a multi-faceted strategic communication program, in alignment with OCLO goals and key objectives, to facilitate information sharing and drive employee engagement
• Establish processes, procedures, standards, and key metrics for OCLO and identify opportunities for streamlining and improving operations
• Develop and maintain effective working relationships with all levels of management and routinely bring together multiple senior-level parties to drive decisions, resolve conflicts, and influence outcomes
• Understand, triage, and address a wide range of complex, and often novel matters, and adapt quickly to changing circumstances
• Contribute operational expertise to executive and senior leadership and serve as a key OCLO authority and liaison on projects and initiatives
• Lead and participate in cross-functional working groups and orchestrate and facilitate group events, including meeting agendas, logistics, and follow-up

Senior Director, Office of the Chief of Staff

• Consult with and educate advisors in the event of a major change, such as retirement or a buyout, to help them manage the transition of their business
• Serve as a relationship manager, primary point of contact, and escalation resource for advisors
• Coordinate and collaborate with team members and liaisons across the firm
• Manage questions on a wide variety of topics, such as operations, compensation, compliance, licensing, and technology
• Consult on business transition structures for operational feasibility
• Cultivate and maintain relationships with advisors and their staff as you guide them through the transition process
• Coordinate regular calls with advisors and/or internal staff to discuss all details of a business transition as needed
• Stay abreast of new resources, products, procedures, industry news, and regulations
• Actively participate in and lead a variety of departmental projects

Business Transitions Case Manager

Customer Support

• Serve as first point of contact for advisors and their staff via the phone queue, dedicating more than 80% of the day to answering incoming calls to identify and resolve operational issues and inquiries
• Support an extensive range of operational processes and procedures and provide indispensable service through effective communications
• Build trusting relationships with financial advisors and their staff by understanding their needs and expectations
• Educate callers on best practices for a broad range of operational topics and ensure their end goals are met
• Stay current with new resources, products, procedures, industry news, and regulations
• Collaborate with various teams across the firm to research and resolve complex issues
• Use an extensive in-house training program to prepare for role responsibilities
• Work Monday-Friday 8:30 a.m. - 5:00 p.m. ET with specified lunch breaks

Operations Support Specialist

Consultant

• Provide educational and consultative financial planning strategies to more than 2,000 independent financial advisors
• Serve as a technical resource for wealth management strategies including estate, tax, and charitable planning; social security strategies; education savings; executive compensation; business succession; and retirement income planning
• Review and summarize plan and legal documents to educate financial advisors
• Identify potential issues on a variety of wealth management projects (wills, trusts, stock options, business succession, executive compensation plans)
• Review clients’ planning objectives to help identify opportunities to meet their needs
• Coach advisors to quarterback relationships with clients and other professionals, focusing on strategic big picture and walking them through planning issues
• Write communication and strategy articles, develop client presentation pieces, and participate in public speaking

Advanced Planning Consultant

Operations

• Answer incoming phone calls (more than 80 percent of day dedicated to phone queue) to identify and resolve operational issues and inquiries
• Build trusted relationships with financial advisors and their staff by understanding needs and expectations
• Educate callers on best practices for a broad range of operational topics and ensure end goals are met
• Stay current on new resources, products, and procedures, as well as industry news and regulations
• Collaborate with various teams across the firm to research and resolve complicated issues
• Uphold Commonwealth’s level of indispensable service

Operations Support Associate

• Reviewing and providing feedback on advertising submissions from advisors and corporate marketing to ensure compliance with state and federal regulations, as well as firm policy
• Serving as a resource and consultant to home office employees and advisors by providing guidance on applicable policies, risks, and regulations, while also working collaboratively to find solutions and offer creative alternatives
• Contributing to high-priority projects on an as-needed basis
• Participating in team discussions on rule and policy interpretation and regularly contributing to process improvements

Compliance Advisor, Advertising Review

Attorney

• Legal externs work closely with Enforcement’s attorneys, investigators and management to assist Enforcement in investigating possible violations of federal securities laws, FINRA, or MSRB rules
• Perform legal research and writing, and document review
• Assist staff to prepare for on-the-record testimony
• Opportunity to observe on-the-record interviews and settlement negotiations
• Attend departmental meetings and participate in trainings to build skills and knowledge
• Term of Position: Spring: January - April
• Applications are accepted on an ongoing basis
• The information provided is not comprehensive of all duties, responsibilities and qualifications
• FINRA enforces a Code of Conduct with investment/account disclosure requirements and requires employees to execute confidentiality and invention assignment agreement

Assistant General Counsel, Regulatory

Vice President – Diversified Carrying and Clearing Examinations Firm Group Lead

Assistant General Counsel, Regulatory

Vice President, Capital Markets, Fixed Income, Compliance Testing

Corporate Real Estate Manager

Senior Principal Analyst, MRTS Metrics and Reporting

Compliance Associate

Director, Human Resources – Operations

Principal Analyst, Risk Monitoring – Capital Markets

Senior Director, Office of the Chief of Staff

Business Transitions Case Manager

Operations Support Specialist

Advanced Planning Consultant

Operations Support Associate

Compliance Advisor, Advertising Review

Legal Extern, Enforcement