Executive Vice President, Risk & Intelligence

FINRA•Boston, DC

5d•Hybrid

About The Position

The Executive Vice President of Risk and Intelligence is a strategic leader reporting directly to the Chief Regulatory Operations Officer, serving as key member of the Regulatory Operations Senior Leadership Team. This role will directly oversee the four departments related to risk monitoring, intelligence, collection and dissemination, and emerging risk identification to enhance FINRA's regulatory effectiveness. The EVP will lead four dedicated departments: Risk Monitoring, Statutory Disqualification & Membership Application Team – Risk Monitoring proactively monitors, analyzes, and assesses risk which enables FINRA to implement a risk-based regulatory program. The Membership Application Program reviews and approves of new and continuing membership applications. These teams work continuously to engage and assess member firm and market risk. Intelligence – Collection, analysis, and synthesis of regulatory intelligence from internal and external sources. Risk Identification Operations Center – Translation of insights into actionable intelligence products and enablement of cross-organizational decision-making. Frontier Risk – Identification and analysis of emerging threats, including technology-driven risks, novel market structures, GenAI, tokenization, digital assets, and evolving regulatory challenges.

Requirements

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, multi-disciplinary organizations
Demonstrated ability to translate complex data and intelligence into strategic insights and actionable recommendations
Strong executive presence with 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

Nice To Haves

advanced degree (MBA, JD, or relevant Master's) strongly preferred
Direct experience in SRO, SEC, or other financial regulatory environment
Securities Licenses: SIE, Series 7, Series 24
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
Serve as a key advisor to executive leadership and the Board on systemic risks, emerging threats, and regulatory priorities
Drive collaboration across Regulatory Operations departments to ensure risk intelligence informs (and is informed by) examination priorities, investigations, surveillance, and enforcement actions
Build and maintain relationships across FINRA
Engage with member firms across several fronts to include membership applications, risk monitoring meetings, and intelligence sharing
Participate in member firm committee meetings, roundtables, webinars related to the intersection of risk, effective practices, escalations, and engagement with membership
Build and maintain relationships with industry participants, other regulators, law enforcement, and intelligence partners
Oversee the development of sophisticated risk monitoring frameworks that synthesize 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 the adoption of advanced analytics, artificial intelligence, machine learning, and other emerging technologies to enhance risk detection and intelligence capabilities
Build a forward-looking capability to identify and assess frontier risks including those related to 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 top-tier 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

discretionary bonus
overtime pay
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, short- and long-term disability, long-term care, business travel accident, disability and legal
immediate participation and vesting in a 401(k) plan with company match
additional FINRA-funded retirement contribution
tuition reimbursement
commuter benefits
adoption assistance
backup family care
surrogacy benefits
employee assistance
wellness programs
15 days of paid time off
5 personal days
9 sick days
two volunteer service days
military leave
jury duty leave
bereavement leave
voting and election official leave
care of a family member leave
childbirth and parental leave
nine paid holidays