Director – MAP, Equity, Retail, Capital Formation

FINRA

Director responsible for membership application oversight at FINRA. Leading regulatory initiatives and guiding a team of analysts in compliance and operational effectiveness.

Posted 7/8/2026full-timeNew York City • California, Colorado, Florida, Illinois, Maryland, Massachusetts, New Jersey, New York, Pennsylvania, Texas, Virginia • 🇺🇸 United StatesLead💰 $154,400 - $312,600 per yearWebsite

About the role

Key responsibilities & impact

Oversee membership application process relating to matters filed with FINRA
Create and facilitate best practices for program execution aligned to regulatory requirements
Provide timely operational status updates and application-level reporting to senior leadership
Monitor established metrics and analytics to enable effective risk-based decision-making
Establish and implement standards for guiding staff and member firms in MAP processes
Monitor legal and regulatory requirements applicable to the program
Partner with key stakeholders to develop training and resources
Lead communications with FINRA personnel and member firms
Manage a team of experienced individual contributors
Participate in the development and execution of the Department’s compliance programs
Serve as a presenter or panelist for member conferences and training

Requirements

What you’ll need

Bachelor’s degree in Finance, Accounting, Business Administration, or related field preferred
Advanced degree preferred
Minimum of ten (10) years of regulatory experience
Minimum of two years of people leadership experience
Advanced knowledge of securities industry rules, regulations, and guidelines
Strong collaboration and team-building abilities
Excellent written and verbal communication skills
Strong organizational skills
FINRA Securities Industry Essentials (SIE) certification required upon hire or within 16 months of start date

Benefits

Comp & perks

Health insurance
Dental insurance
Vision insurance
Basic life insurance
Accidental death and dismemberment insurance
Supplemental life insurance
Short-term disability insurance
Long-term disability insurance
Long-term care insurance
Business travel accident insurance
Legal insurance
401(k) plan with company match
Additional FINRA-funded retirement contribution
Tuition reimbursement
Commuter benefits
Adoption assistance
Backup family care
Surrogacy benefits
Employee assistance programs
Wellness programs
15 days of paid time off
5 personal days
9 sick days
Volunteer service days
Paid holidays

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

Regulatory ComplianceRisk-Based Decision-MakingMetrics MonitoringApplication-Level ReportingProgram Execution Best Practices

Soft Skills

CollaborationTeam-BuildingOrganizational SkillsWritten CommunicationVerbal Communication

Certifications

FINRA Securities Industry Essentials (SIE) Certification