Director, Trading, Custody, Markets

FINRA

Director overseeing the FINRA membership application process including operational leadership and team management. Collaborates on regulatory initiatives and provides expert guidance on compliance matters.

Posted 7/8/2026full-timeJericho • Colorado, Illinois, Massachusetts, New York, Texas • 🇺🇸 United StatesLead💰 $134,400 - $312,600 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates extensive regulatory experience with a strong focus on the securities industry, including operational leadership and team management. Proficient in overseeing membership application processes and ensuring compliance with legal and regulatory requirements.

Highest-signal resume keywords

Regulatory ExperiencePeople LeadershipSecurities Industry KnowledgeFINRA SIE CertificationOperational Leadership

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Membership Application ProcessRisk-Based Program ManagementMetrics MonitoringApplication-Level ReportingMethodology Standards Establishment

Soft Skills

CollaborationTeam BuildingWritten CommunicationVerbal CommunicationOrganizational Skills

Certifications & Qualifications

FINRA SIE Certification

Industry Keywords

FINRASecurities Industry RulesRegulatory RequirementsOperational LeadershipAnalyst Supervision

About the role

Key responsibilities & impact

Oversees membership application process relating to matters filed with FINRA
Provides operational leadership for management of the program
Supervises analysts, defines roles, increases staff skills
Collaborates on interdepartmental regulatory initiatives
Manages application staff in execution of risk-based program
Provides timely operational status updates and application-level reporting
Monitors established metrics for effective decision-making
Establishes standards for consistent methodologies in MAP processes
Monitors legal and regulatory requirements, providing guidance on risks
Proactively identifies skill gaps and development opportunities

Requirements

What you’ll need

Bachelor’s degree required; major in Finance, Accounting, Business Administration, or related field preferred; advanced degree preferred
Minimum of ten (10) years of regulatory experience, with a minimum of two years of people leadership experience
Advanced knowledge of securities industry rules, regulations and guidelines
FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification required upon hire or within 16 months
Strong collaborator and team builder with excellent written and verbal communication skills
Strong organizational skills with the ability to manage multiple complex assignments concurrently

Benefits

Comp & perks

Comprehensive health, dental and vision insurance
401(k) plan with company match
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
Two volunteer service days
Paid holidays