Senior Director, Trading and Product Risk Intelligence

FINRA • Jersey City, NJ

2d • $158,000 - $370,700 • Hybrid

About The Position

Strategic Intelligence is a team within FINRA's Risk & Intelligence organization that provides strategic and tactical intelligence impacting member firms, investors, and the financial markets, translating into better, more informed, and timely regulatory decisions. The Strategic Intelligence team supports FINRA's Regulatory Programs by identifying, analyzing, and assessing emerging risks and trends, and generating insights through finished intelligence products. The Senior Director, Strategic Intelligence provides broad management and leadership to senior-level managers and analysts with expertise in multiple intelligence disciplines and across the full intelligence cycle. This role requires mastery level knowledge of broker-dealer functional areas as well as complex intelligence practices and principles. This individual advises senior leadership on shaping strategic priorities and communicates them across FINRA's Regulatory Programs, building effective relationships with stakeholders. They also serve as a representative for strategic relationships externally with member firms, law enforcement, and other government intelligence partners in support of both Strategic Intelligence and FINRA's missions.

Requirements

• Bachelor's degree and minimum of twelve (12) years of experience required; advanced degree in intelligence studies, public policy, business, or law preferred.
• Previous experience working and leading teams at a broker-dealer or other type of financial institution or at a government agency or department with a focus on intelligence required.
• Mastery level knowledge and proven track record of performing advanced and high-complexity intelligence functions across multiple disciplines, representing the full intelligence cycle.
• Demonstrated success in applying rigorous analytical and strategic thinking skills, particularly in high-risk situations with no precedent for resolution, to assess broad and complex risks and threats with significant implications across the broader organization.
• Demonstrated track record of making significant improvements to support operational excellence and drive measurable results across several teams and functions.
• Strong knowledge of FINRA rules and the federal securities laws is required.
• Strong knowledge of the securities markets and member firm operations is required.
• Exceptional written and verbal communication and interpersonal skills, including the ability to influence senior leaders and align stakeholders across the organization on new intelligence concepts, practices, and approaches.
• Broad management and strong leadership background, with proven experience managing three or more senior-level managers and senior individual contributors.
• Demonstrated experience fostering a functional team-oriented culture and directing the execution of strategies established by senior leadership.
• Exceptional organizational skills and attention to detail.
• Expert proficiency in Microsoft Office and other relevant software applications.
• 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 in intelligence studies, public policy, business, or law preferred.

Responsibilities

• Serve as a senior strategic partner to internal and external stakeholders, providing guidance on cross-departmental efforts to identify emerging threats and driving intelligence-led initiatives with measurable impact across the organization.
• Provide guidance and leadership to teams identifying, analyzing, and predicting a broad and complex range of emerging risks, threats, regulatory trends, and critical events, including assessing impact across multiple functions and the broader organization.
• Serve as FINRA’s representative for strategic relationships with industry leaders and peers, spearheading the establishment and maintenance of partnerships and networks with internal and external stakeholders to understand and shape intelligence priorities across the enterprise.
• Direct teams in the execution of intelligence frameworks, collection strategies, standards, and dissemination, leveraging extensive expertise across sophisticated intelligence practices, standards, and a broad range of disciplines.
• Direct teams in the execution of measurable operational plans, including setting priorities for the production of Strategic Intelligence products, assessments, briefings, and communications that translate complex intelligence into actionable insights for senior leadership, regulatory staff, and external stakeholders.
• Oversee the development and implementation of annual and longer-term risk management strategies, partnering with senior leadership across FINRA to mitigate risks and threats, and drive alignment on new intelligence concepts, practices, and approaches.
• Lead or participate in conference panels, working groups, and roundtables related to member firm/investor and FINRA staff intelligence sharing.
• Lead or host training events, podcasts, workshops, or live webinars related to FINRA staff training and intelligence sharing.
• Demonstrate FINRA’s values.
• Collaborate, 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
• 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
• generous time-off program starting at 15 days of paid time off (increasing with years of service, up to 25 days)
• 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

What This Job Offers

• Job Type: Full-time
• Career Level: Senior