Senior Director

The Senior Director is responsible for overseeing the strategic direction and execution of an effective and dynamic Quality Assurance (QA) Program within Market Regulation’s Surveillance and Market Intelligence (SMI) Group. This includes managing a team responsible for assessing alert output from surveillance patterns and providing independent and informed observations on alert output dispositions to ensure a center of excellence for surveillance.
The Senior Director is also responsible for monitoring, evaluating and addressing deviations and deficiencies in the alert review process and supporting a culture of continuous improvement. The Senior Director also provides actionable feedback to enable SMI management to assess, prioritize and mitigate regulatory, oversight and reputational risk to and impact on FINRA.

Essential Job Functions:

• Plan, execute and oversee quality assurance reviews of surveillance alert output across SMI to ensure dispositions meet established quality, consistency and completeness standards.
• Identify potential programmatic and operational risks and trends through quality assurance reviews.
• Continuously evaluate methodologies for assessing alert ...