Director, MAP, Custody, Trading, & Markets

About the role

The Director, MAP, Custody, Trading, & Markets is responsible for overseeing the membership application process for FINRA, including new and continuing applications, materiality consultations, two principal waivers, and membership agreement updates. This is a senior-level professional position providing operational leadership for managing the program, supervising analysts, and guiding staff on escalated matters.

Responsibilities

• Manage and guide application staff in executing the Department’s risk-based application program of member firms, in compliance with FINRA’s Standards of Admission and processes outlined in FINRA Rule 1017.
• Create and facilitate best practices for program execution aligned with organizational and regulatory requirements.
• Provide timely operational status updates and application-level reporting to senior leadership.
• Maintain and monitor established metrics and analytics to enable effective risk-based decision-making and identify opportunities for improvement.
• Establish and implement standards to ensure consistent methodologies for staff and member firms in the MAP processes.
• Monitor legal and regulatory requirements, providing escalation and recommendations on emerging risks and compliance issues.
• Identify and address skill gaps and development opportunities for staff and the broader program.
• Partner with key stakeholders to develop and adopt training, resources, and upskilling tools.
• Communicate with FINRA personnel and member firms, providing guidance on timely, thorough, and accurate information.
• Lead a team of experienced individual contributors, conducting meaningful career development conversations and planning, coaching, and providing feedback.
• Audit and assess performance of staff and prepare performance evaluations.
• Recruit, interview, and retain staff, managing the team structure.
• Participate in the development and execution of the Department’s compliance programs.
• Present or participate in member conferences and training sessions.

Requirements

• Bachelor’s degree in Finance, Accounting, Business Administration, or related field, with a 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.
• Strong collaborator and team builder with excellent written and verbal communication, interpersonal, and presentation skills.
• Strong organizational skills, able to manage multiple complex assignments concurrently and execute against tight deadlines.
• FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification required upon hire or within 16 months of the start date of the assigned SIE training cohort.