Executive Vice President, Regulatory Operations - Risk & Intelligence

FINRA•Washington, DC

1d•Hybrid

About The Position

The Executive Vice President of Risk and Intelligence is a senior executive accountable for the full lifecycle of regulatory risk intelligence at FINRA. Reporting directly to the Chief Regulatory Operations Officer and serving as a principal member of the Senior Leadership Team, this leader directs a division of more than 300 people across four departments and shapes how FINRA identifies, monitors, and responds to emerging threats across U.S. securities markets. The role has enterprise-wide influence and visibility at the most senior levels of the organization. The EVP leads Risk Monitoring, Statutory Disqualification & Membership Application Team; Intelligence; Risk Identification Operations Center; and Frontier Risk. Together, these teams monitor and assess member-firm and market risk, review membership applications, collect and synthesize regulatory intelligence, translate insights into actionable products, and identify emerging threats such as technology-driven risks, novel market structures, generative AI, tokenization, and digital assets. The position is based at FINRA headquarters in Washington, DC, or New York, NY. The role establishes the strategic direction and governance of risk and intelligence operations, advises executive leadership and the Board, strengthens collaboration across regulatory functions and external partners, and leads modernization, innovation, and talent development. Employees may be eligible for a discretionary bonus in addition to base pay.

Requirements

At least 15 years of progressive leadership experience in financial services regulation, risk management, intelligence operations, or related fields.
Deep understanding of securities markets, broker-dealer operations, and regulatory frameworks.
Proven track record of building and leading complex, multidisciplinary organizations.
Demonstrated ability to translate complex data and intelligence into strategic insights and actionable recommendations.
Strong executive presence, exceptional communication skills, and ability to influence senior stakeholders.
Experience establishing governance frameworks and operational processes for risk and intelligence functions.
Bachelor’s degree required.
FINRA Securities Industry Essentials (SIE) certification or acceptable industry-equivalent certification required upon hire or within 16 months of the start date of the assigned SIE training cohort.

Nice To Haves

Advanced degree, such as an MBA, JD, or relevant master’s degree.
Direct experience in an SRO, SEC, or other financial regulatory environment.
Background in intelligence operations.
Experience managing cross-functional initiatives across large, complex organizations.
Knowledge of emerging technologies and their implications for market structure and regulatory oversight.

Responsibilities

Establish and execute the strategic vision for Risk and Intelligence as FINRA’s central hub for integrated risk assessment and intelligence operations.
Advise executive leadership and the Board on systemic risks, emerging threats, and regulatory priorities.
Drive collaboration across Regulatory Operations so risk intelligence informs, and is informed by, examination priorities, investigations, surveillance, and enforcement actions.
Build and maintain relationships across FINRA.
Engage with member firms regarding membership applications, risk monitoring meetings, and intelligence sharing.
Participate in member-firm committee meetings, roundtables, and webinars concerning risk, effective practices, escalations, and member engagement.
Build and maintain relationships with industry participants, other regulators, law enforcement, and intelligence partners.
Oversee the development of risk-monitoring frameworks synthesizing data from surveillance, examinations, enforcement, and other internal and external sources.
Direct intelligence operations that identify patterns, connections, and trends across member-firm activities, market events, and external threat vectors.
Establish governance frameworks for risk-assessment methodologies, intelligence standards, and information-sharing protocols.
Ensure timely dissemination of actionable intelligence to appropriate stakeholders across the organization.
Champion advanced analytics, artificial intelligence, machine learning, and other emerging technologies to enhance risk detection and intelligence capabilities.
Build capability to identify and assess frontier risks, including crypto assets, novel algorithmic trading, cyber threats, and novel fraud schemes.
Foster a culture of innovation, continuous learning, and analytical rigor within the division.
Recruit, develop, and retain talent across risk management, intelligence analysis, data science, and regulatory domains.
Create a collaborative, high-performance culture that values diverse perspectives and interdisciplinary approaches.
Establish career-development pathways and training programs to build organizational capability.

Benefits

Comprehensive health, dental, and vision insurance.
Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment insurance.
Short- and long-term disability insurance, long-term care insurance, business travel accident coverage, and legal coverage.
Immediate participation and vesting in a 401(k) plan with company match.
Eligibility to participate in an additional FINRA-funded retirement contribution.
Tuition reimbursement.
Commuter benefits.
Adoption assistance, backup family care, and surrogacy benefits.
Employee assistance and wellness programs.
Discretionary bonus may be available in addition to base pay.
Paid time off starting at 15 days and increasing with years of service up to 25 days.
Five personal days and nine sick days, prorated in the first year where applicable.
Two volunteer service days based on a full-time schedule.
Paid military, jury duty, bereavement, voting and election official, family-care, childbirth, and parental leave, subject to stated eligibility and conditions.
Nine paid holidays for full-time employees.