The non-governmental securities industry regulator is seeking well qualified individuals for an Associate Director in the Office of the Ombudsman. The FINRA Ombuds Office serves external stakeholders (member firms and their employees, public investors, and any other business or individual who interacts with FINRA) with concerns about operations, enforcement, or other FINRA activities or staff. The Associate Director is responsible for conducting reviews and investigations related to complaints received by the Office of the Ombudsman, as well as working with senior managers to ensure appropriate resolution to any issue that arise. Applicants should have a bachelor’s degree and a minimum of five years experience in a compliance, analytical or investigative role; and strong knowledge of securities industry rules or relevant securities industry experience. The position is based in Rockville, MD and requires up to 25% travel. (FINRA Careers.)
Related posts: SEC Affirms Role of NASD Ombuds [predecessor to FINRA]; Job Posting (Sr. Dir.); Externship Posting.