FINRA is a not-for-profit self-regulatory organization serving the U.S. securities industry through finance, fintech, and compliance programs focused on investor protection and market integrity. Its work supports brokerage firms, registered representatives, and investors with regulatory guidance, compliance resources, filings, education, and dispute resolution.
The organization oversees the conduct of securities firms and their employees, investigates activity that may undermine fair markets, and helps investors make informed decisions. FINRA also monitors activity connected to crypto assets, contributing to broader efforts to reduce fraud, insider trading, and other abusive practices in financial markets.
Director of Investor Education and Outreach at FINRA
Lead FINRA’s investor education, outreach, research, and financial fraud awareness programs. Build stakeholder partnerships and engagement strategies that support retail investor protection.
Description
- Lead multifaceted outreach programs for FINRA’s Office of Investor Education and the FINRA Investor Education Foundation
- Direct initiatives focused on investor protection and financial fraud awareness, prevention, and intervention
- Contribute to long-term strategic planning efforts
- Support the creation and distribution of research and publications
- Act as a subject matter expert for internal and external presentations, speaking engagements, and media interactions
- Develop opportunities for FINRA leaders to engage directly with retail investors
- Build internal and external relationships that advance FINRA and Foundation strategic priorities
- Lead the creation, implementation, and ongoing refinement of a three- to five-year outreach strategy
- Work with industry peers, media, and stakeholders to advance investor education and protection practices
- Guide the distribution and strategic positioning of research and publications
- Collaborate with internal partners, including Regulatory Operations and the Office of Global Government Affairs
- Present strategic business plans and performance frameworks to senior leaders and Foundation Board members
- Convert complex operational data into practical insights and recommendations
- Lead committees and cross-functional teams addressing prominent retail investor education and protection matters
- Work both in person and virtually to advance FINRA’s investor protection and market integrity mission
- Report to the Senior Director of Investor Education
Requirements
- Bachelor’s degree
- At least eight years of related professional experience leading complex, high-profile consumer engagement programs
- Eight or more years of substantial experience in regulatory work or financial education and protection
- Knowledge of the U.S. securities industry, securities laws, and regulatory framework
- Ability to represent the institution at conferences and prominent external engagements
- Ability to establish and maintain strategic partnerships with nonprofit and consumer protection groups, law enforcement, financial services organizations, and government or regulatory bodies
- Excellent verbal and written communication skills
- Ability to communicate effectively with senior internal and external audiences
- Ability to manage multiple complex, high-visibility assignments at the same time
- Strong attention to detail and ability to meet demanding deadlines in a fast-paced, high-stakes regulatory setting
- Willingness to travel
- Ability to comply with FINRA’s Code of Conduct, investment restrictions, financial disclosure obligations, and Employee Confidentiality and Invention Assignment Agreement
Benefits
- Discretionary bonus may be offered in addition to base salary
- Comprehensive medical, dental, and vision insurance
- Basic life, accidental death and dismemberment, supplemental life, spouse or domestic partner and dependent life, and related accidental death and dismemberment coverage
- Short- and long-term disability insurance
- Long-term care insurance
- Business travel accident insurance
- Legal insurance
- Immediate eligibility for and vesting in a company-matched 401(k) plan
- Eligibility for an additional FINRA-funded retirement contribution
- Tuition reimbursement
- Commuter benefits
- Adoption assistance
- Backup family care
- Surrogacy benefits
- Employee assistance resources
- Wellness programs
- 15 to 25 paid time-off days based on length of service
- Five personal days
- Nine sick days
- Two volunteer service days
- Military leave
- Jury duty leave
- Bereavement leave
- Voting and election official leave
- Leave to care for a family member
- Childbirth and parental leave
- Nine paid holidays for full-time employees