FINRA

General Counsel

• Authorize formal disciplinary complaints to be filed by the Department of Enforcement pursuant to the Codes of Procedure of FINRA and SRO clients under the terms of Regulatory Services Agreements
• Accept pre- and post-complaint settlements of formal disciplinary actions and Minor Rule Violation letters by delegated authority from FINRA’s National Adjudicatory Council and designated SRO clients
• Perform independent, objective, and rigorous review of cases submitted to ODA to ensure legal sufficiency of charges and fairness and consistency in FINRA actions and those of SRO clients
• Demonstrate proficiency and independence at performing the functions of ODA, including the critical review of advanced levels of proposed disciplinary actions
• Exhibit and maintain an expertise in one or more particular legal and regulatory subject matters
• Offer and provide training and guidance regarding legal, policy and procedural issues to staff in other departments and to colleagues in ODA, both formally and on an ongoing basis in routine and frequent interactions with individual staff members
• Coordinate and collaborate with ODA attorney colleagues on a continuous basis to ensure an efficient and consistent approach to reviewing cases
• Enter information into FINRA database to document review and approval of disciplinary actions and to provide data for internal legal and statistical research and to be used for external reporting
• Initiate and participate in special projects as assigned, both internal to ODA and in collaboration with other departments
• Remain flexible in responding to a variable workflow and responsive to requests for expedited review, often on short notice
• Demonstration of FINRA’s values.
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Assistant General Counsel – Office of Disciplinary Affairs

Paralegal

• Provides paralegal support to Ethics Office attorneys and senior management
• Drafts correspondence, summaries of advisory consultations, and responds to non-complex policy inquiries
• Prepares analysis of points of law (e.g., FINRA's Revolving Door Rules and OGE regulations)
• Provides editorial reviews for policy and training materials
• Prepares metrics for the review, approval, and use by attorneys
• Proofreads, edits, formats and finalizes legal documents through to execution
• Tracks performance and drafts summary outcomes of programs monitored by Ethics attorneys
• Assists with Advisory and investigations case management and EthicsPoint administration activities
• Assists in drafting and maintaining written procedures

Senior Paralegal, Ethics

Director

• Provides strategic, operational, and technical leadership of an enterprise-wide knowledge management system (KMS)
• Develops content for the enhancement and maintenance of the enterprise-wide KMS
• Directs all aspects of project management involving planning, developing, organizing, and coordinating KMS content
• Develops plans for a continuously maintained portal with a practice-focused user experience
• Leads, delivers, and assists with training and demonstrations of the KMS
• Works closely with internal stakeholders to develop and catalog information
• Applies advanced proficiency in conducting research into matters of regulatory policy
• Regularly reviews and updates content to ensure user needs are met
• Maintains the KMS and sources data from relevant teams
• Guides the preparation and review of content that may require sophisticated analyses
• Maintains and expands the taxonomy to facilitate topical access to the KMS
• Manages technical maintenance of the KMS
• Monitors traffic in the KMS and reports systems usage

Associate Director, Knowledge Management

Attorney

• Identify opportunities to leverage technology to achieve OCLO strategic objectives
• Partner with business and technology sponsors to build successful business cases
• Oversee and manage OCLO technology products
• Define and facilitate program governance structure
• Represent and collaborate with business units across the full project lifecycle
• Drive the adoption of advanced reporting and analytics tools
• Lead vendor engagement efforts
• Oversee ongoing service delivery for compliance with legal agreements

Lead Product Manager, Legal Technology

Operations

• Lead or co-lead a variety of cross-functional and corporate-wide initiatives and special projects within OCLO
• Establish project scope and timeline, define measures of success, and manage the team(s) through successful completion of the initiative(s)
• Support organizational excellence through analysis of operational efficiency and effectiveness
• Collaborate with OCLO business leaders to engage and synthesize feedback and direct work related to the initiatives
• Establish qualitative and quantitative measurements to inform continuous improvement effort
• Support annual strategic planning process and quarterly learning reviews to assess attainment of business outcomes and key results
• Develop and maintain effective working relationships with leaders and staff throughout OCLO
• Plan and lead change management efforts to ensure successful adoption of new initiatives
• Manage budget planning and financial management processes in partnership with Finance and budget owners
• Track performance against financial targets and facilitate reporting within OCLO
• Facilitate development of reporting and metrics to provide insight into department strategic and operational performance

Associate Director – OCLO Operations

Program Manager

• Manages EDPO program management activities including new initiatives, projects, strategic objectives, and ongoing program execution.
• Manages the creation and implementation of the enterprise-wide privacy training and awareness program for all employees and contractors.
• Supports ongoing implementation and advancement of the Privacy Risk Management Framework across the organization.
• Manages vendor relationships and contract management to ensure effective program delivery and budget compliance.
• Assists in preparation of quarterly and bi-weekly reporting to senior management and the FINRA Board.
• Collaborates with stakeholders to ensure consistent application of privacy policies and practices.

Program Manager, Enterprise Data Privacy

Analyst

• Conduct comprehensive surveillance reviews of possible violations of rules and federal securities laws with minimal supervision
• Proactively identify notable and emerging trends, threats, and/or issues applicable to Surveillance or other core functions
• Conduct advanced processes for testing and developing new surveillance tools or processes that detect and deter violative activity
• Communicate both verbally and in writing with firms, registered and associated persons, investors, and others
• Implement a process for the team’s documentation of review steps and results
• Demonstrate subject matter expertise and an ability to coach and train colleagues
• Ensure that all regulatory requests are fulfilled in a timely and accurate manner
• Participate actively in and play a leading role in special projects