Senior Director, Market Strategy & Research

FINRA•New York City, NY

1d•Hybrid

About The Position

The Senior Director, Market Strategy & Research provides critical leadership in proactive regulatory risk assessment and the development of regulatory strategy. This role is essential to enabling Surveillance to effectively develop regulatory strategy informed by market conditions and developments, as well as achieving the goals and priorities of the department.

Requirements

Bachelor's Degree and a minimum of ten (10) years of experience in securities, compliance or financial regulation required, or an equivalent combination of education and experience.
Functional knowledge of FINRA's risk hierarchy and how it relates to Regulatory Ops strategic goals and operations.
Advanced knowledge of rule changes and interpretations and how they relate to regulatory operations.
Advanced knowledge of industry wide events and trends.
Proven record of creating and providing executive level reporting using metrics, analysis, and data analytics.
Experience making internal and external presentations as a subject matter expert.
Substantial knowledge of, and experience with, the regulation and operation of U.S. broker-dealers, as well as familiarity with the broader landscape of financial regulation.
Proven record of acting independently in an unstructured environment to identify and address challenges, make risk-based decisions, develop new initiatives, and strengthen existing programs.
Strong collaborator and team builder, with excellent written and verbal communication, interpersonal, and presentation skills.
Exceptional organizational skills, with attention to detail and an ability to administer multiple complex assignments concurrently and execute against tight deadlines.
Excellent leadership skills, including the ability to interact effectively and in a positive manner with people from a variety of backgrounds in order to reach timely, informed decisions.
Proven record of project management, process improvement and goal attainment skills, as well as producing high quality written work products.

Nice To Haves

MBA, JD, other graduate degree and/or relevant industry certification(s) preferred.
Experience with securities market structure issues, associated data, regulations and/or market surveillance business processes is strongly preferred.

Responsibilities

Work closely with the head of Surveillance Operations and the senior management team to effectively conduct continuous qualitative research into market conditions and developments.
Manage an analyst to develop and deliver highly specialized reports on a regular basis concerning critical regulatory issues and trends for the senior management team and Regulatory Ops business lines.
Assess issues that impact the department and determine the proper course of action.
Identify, assess, and analyze high risk and urgent issues requiring the attention of senior leadership and present such issues in an organized and succinct manner.
Develop and maintain effective relationships with senior leaders throughout the organization and with external FINRA constituents including the SEC, other regulators, and market participants as needed.
Develop and manage Surveillance environmental SWOT analysis and provide corresponding support to strategic goal development.
Identify, develop, and respond to rule change management issues to include rules impact analysis, for key stakeholders in Regulatory Programs and within department.
Evaluate business unit structures and processes and assess issues that serve as barriers to operational effectiveness and efficiency.
Drive decisions and steer implementation involving the creation of new programs and improvements or streamlining of existing programs.
Work with the senior management team on SEC oversight inspections and FINRA internal audits.
Develop presentations and reports as needed, including for the board and Management Committee.
Represent senior leadership at meetings and events with internal and external stakeholders when necessary.
Work with counterparts across the organization to help prepare for and respond to significant market events.
Work with other FINRA departments including Investor Education and Corporate Communications to formulate FINRA’s response to issues and trends that pose a risk of ongoing investor harm.
Lead Surveillance’s engagement with Enterprise Risk Management, providing senior-level input on enterprise risk assessments concerning Regulatory Ops.
Demonstration of FINRA’s values.
Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

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, 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 and 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