Senior Advisor: Market Regulation & Regulatory Service Agreement (RSA)

FINRA•Jersey City, NJ

26d•$158,000 - $370,700•Hybrid

About The Position

The Senior Advisor: Market Regulation and Regulatory Service Agreement (RSA), serves as a strategic regulatory advisor and subject matter expert on market structure, market regulation, and Regulatory Services Agreement (RSA) matters. This role provides critical leadership in analyzing regulatory developments, shaping organizational positions, and ensuring effective coordination across FINRA's Regulatory Operations and enterprise-wide stakeholder groups.

Requirements

Deep knowledge of FINRA rules, SEC regulations, and securities laws applicable to market regulation and trading activities
Strong understanding of Regulatory Services Agreements and exchange regulatory frameworks
Exceptional analytical skills with ability to assess regulatory impact across multiple operational dimensions
Strategic thinking and ability to synthesize complex information from diverse sources
Superior written and verbal communication skills, including ability to communicate technical concepts to non-technical audiences
Proven ability to influence and build consensus across organizational boundaries
Demonstration of FINRA’s values.
Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.
Bachelor's degree required
12+ years of progressive experience in securities regulation, market regulation, compliance, or related regulatory operations roles
Demonstrated expertise in market structure, trading surveillance, market investigations, or exchange regulation
Proven track record of policy development, regulatory interpretation, and cross-functional collaboration in complex financial services organizations
Experience representing organizational interests in regulatory forums or industry working groups
FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.

Nice To Haves

advanced degree (JD, MBA, or relevant master's degree) strongly preferred

Responsibilities

Monitors, analyzes, and interprets complex regulatory developments related to market structure and market regulation from exchanges, FINRA, the SEC, and other regulatory bodies
Provides expert guidance to senior leadership on the operational, strategic, and policy implications of new and emerging regulatory requirements
Directs the preparation and distribution of comprehensive regulatory intelligence materials for diverse stakeholder audiences
Serves as a trusted advisor to the Vice President and Chief Regulatory Operations Officer (CROO) on enforcement matters within the market regulation and RSA domains
Partners with Regulatory Operations policy teams to ensure timely communication and appropriate codification of new regulatory requirements into operational policies and procedures
Provides authoritative subject matter expertise to assess impact and guide implementation strategies across surveillance and market investigations functions
Reviews and advises on Regulatory Operations policies and procedures governing the application of FINRA rules and securities laws in market regulation and RSA contexts
Ensures alignment between regulatory developments, operational capabilities, and policy frameworks
Represents Regulatory Operations in high-level RSA meetings and organization-wide strategic initiatives
Collaborates with the Office of General Counsel (OGC) on rulemaking, regulatory policy development, and governance matters affecting market regulation and RSA functions
Coordinates with Market Regulation Services (MRS) teams to monitor RSA contract changes and assess operational impact
Leads cross-departmental working groups and initiatives to develop unified FINRA positions on critical regulatory issues
Synthesize complex, multi-dimensional input on key regulatory issues facing FINRA in the RSA and market regulation space, translating technical matters into actionable strategic recommendations
Communicates policy positions and operational considerations effectively to internal stakeholders, including senior leadership and business line leaders
Facilitates knowledge sharing and alignment across geographically dispersed and functionally diverse teams

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 insurance
immediate participation and vesting in a 401(k) plan with company match
eligibility for participation in an 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 for federal, state or local primary and general elections
care of a family member leave (available after 90 days of employment)
childbirth and parental leave (available after 90 days of employment)
nine paid holidays