Senior Asset Quality Lead responsible for driving GCP quality and oversight for clinical assets at Pfizer. Ensuring quality risk management, inspection readiness, and regulatory compliance across asset teams.
FI
Hybrid Senior Director, Surveillance & Market Intelligence – Market Abuse
Posted 3 months ago
About the role
- Senior Director of Surveillance & Market Intelligence at FINRA, ensuring compliance and management of surveillance operations. Leading teams, managing regulatory intelligence, and representing the organization.
Responsibilities
- Direct teams of managers and individual contributors
- Account for meaningful career development conversations and regular coaching and feedback
- Lead the execution of the surveillance program
- Design and implement effective measures to manage surveillance matters
- Manage the review and analysis of regulatory intelligence
- Represent FINRA in internal/external meetings and speaking engagements
- Monitor and implement solutions to achieve success measures
Requirements
- Bachelor’s degree
- Minimum of ten (10) years of experience in the securities/financial services industry or equivalent combination of education and experience
- Minimum five (5) years supervisory experience
- Demonstrated project management
- Strong understanding of surveillance development lifecycle
- Extensive working knowledge of FINRA, MSRB and other SRO rules
- Experience with investigations involving securities rule violations
- Excellent written and verbal communications skills
- Strong organizational skills and attention to detail
Benefits
- Health insurance
- Dental insurance
- Vision insurance
- Life insurance
- Accidental death and dismemberment insurance
- Short-term disability insurance
- Long-term disability insurance
- Retirement plan with company match
- Tuition reimbursement
- Commuter benefits
- Paid time off including 15 days of paid time off, 5 personal days, and 9 sick days
- Volunteer service days
- Paid holidays
- Childbirth and parental leave
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