Associate Director, Financial Disclosure & Trading

Through its administration of the Code of Conduct, the Ethics Office (“Office”) furthers FINRA’s independence and the integrity of its regulatory efforts. Having a broad financial services background with expertise in investment accounts and securities products, back-office compliance operations and a strong acumen for compliance technology systems, the Associate Director is charged with managing an assigned team of professional Ethics Analysts and a range of responsibilities conducted under the Office’s Financial Disclosure and Surveillance function. This includes interpretation of the related provisions of the Code of Conduct, employee financial disclosure management operations, administration of assigned compliance programs (e.g., financial disclosure, trading restriction and insider trading surveillance) and management of the relevant compliance technology systems. All such activities, inherently complex, are essential to the successful operation of the Office and provide significant contributions to this critical function of FINRA’s corporate governance.