Vice President, Trading and Product Risk Intelligence

FINRA•Denver, DC

60d•Hybrid

About The Position

The Vice President, Trading and Product Risk Intelligence, will be a key member of the Intelligence leadership team, reporting directly into the Senior Vice President of Strategic Intelligence. This highly strategic leader will lead and oversee a team of product and market intelligence subject matter experts responsible for identifying, analyzing, and predicting regulatory trends and their potential impact on member firms, their customers, and the financial markets. The VP will be responsible for developing finished intelligence products on emerging product-specific risks and critical market events through proactive and predictive analytics, serving as a bridge between deep technical expertise and strategic intelligence dissemination. The team will work closely with Regulatory Operations Analytics to identify and evaluate product-level and market-wide risks to investors and markets. This role requires deep technical expertise in intelligence disciplines, market operations, regulatory frameworks, and complex financial products, combined with a strong ability to build and maintain effective relationships both internally and externally with industry participants such as FINRA member firms, other regulators, law enforcement, intelligence partners, exchanges, and market infrastructure providers.

Requirements

Bachelor's degree, or equivalent, from an accredited college or university.
Minimum ten years' experience in intelligence collection, analysis, dissemination, and planning.
Deep expertise in developing and executing strategies related to the intelligence cycle and methodologies to identify threat and strategic intelligence that informs regulatory activities.
Extensive knowledge of intelligence structures, capabilities, processes, and policy development.
Strong knowledge of collection requirements and proven experience driving collection, identifying collection gaps, and developing intelligence products that inform strategic decision-making.
Substantial knowledge of the regulation and operation of U.S. broker-dealers, as well as familiarity with the broader landscape of financial regulation and oversight of a wide range of market participants, financial markets, and products.
Proven leadership skills with the ability to lead through influence and consensus-building; attract, develop, and retain talent across disciplines including compliance, risk, intelligence, data analytics, and technology.
Strategic thinking and critical thinking skills with the ability to anticipate future risks, identify priorities, and position the organization to address mission-related opportunities proactively.
Strong written, verbal, and presentation skills with proven ability to communicate complex intelligence assessments, technical data, and strategic insights clearly to audiences with varying degrees of subject matter expertise.
Demonstrated sound judgment, impeccable integrity, and ethical behavior with a strong commitment to transparency; ability to navigate divergent opinions and make data-informed, intelligence-driven decisions in a timely manner.
Exceptional organizational skills with the ability to manage multiple complex assignments concurrently, execute against tight deadlines, and coordinate effectively across stakeholders and decision-makers.

Nice To Haves

Law degree, advanced business degree, or other graduate degree preferred.
Previous experience working at a broker-dealer or financial institution preferred.
Experience with financial products, market operations, intelligence methodologies, or related specialized areas relevant to the specific role preferred.
Demonstrated track record in adapting technology innovation to business problems through the development of software products and analytics.
Proven record of acting independently in an unstructured environment to identify and address challenges, seize opportunities, develop new initiatives, and strengthen existing programs.

Responsibilities

Serve as a key member of senior management and strategic advisor to business stakeholders, partnering across departments to provide critical leadership and strategic direction on regulatory oversight, emerging risks, and intelligence-driven initiatives.
Drive strategic discussions, decisions, and cross-departmental initiatives; engage senior leadership on priorities, opportunities, and gaps; and make recommendations for improvements in support of investor protection and market integrity.
Demonstrate an "owner-mentality" with expert judgment to identify systemic obstacles, develop tactical and strategic solutions, and optimize the balance of business efficacy with right-sized governance and controls.
Develop and maintain strong working relationships with leaders across FINRA, the SEC, and other regulatory and law enforcement agencies; serve on committees and task forces; and represent FINRA at conferences and public speaking events.
Lead intelligence team operations to identify, analyze, and predict emerging risks, threats, regulatory trends, and critical events impacting member firms, investors, and the financial markets.
Oversee the development and delivery of strategic intelligence products, assessments, briefings, and communications that translate complex intelligence into actionable insights for senior leadership, regulatory staff, and external stakeholders.
Develop and maintain intelligence frameworks, collection strategies, standards, and dissemination protocols to ensure timely delivery of actionable intelligence to appropriate stakeholders across the enterprise.
Stay abreast of developments in the financial services sector and liaise with analytics experts across FINRA, other regulators, and the broader industry to be at the forefront of emerging risks, analytical concepts, and innovative approaches.
Directly supervise, develop, and mentor talent with overall leadership responsibility for a team of subject matter experts, intelligence specialists, and other staff.
Create annual plans, determine priorities, organize resources, and proactively manage team staffing, training, technology, and budget needs to achieve objectives and key results.
Attract, develop, and retain top talent; foster a positive and innovative workplace; and create a high-performing culture of employee engagement and development consistent with FINRA culture and values.
Communicate complex intelligence assessments and technical data clearly to audiences with varying degrees of subject matter expertise within FINRA and externally.
Partner with leaders across FINRA departments to promote effective collaboration, intelligence sharing, and drive overall success of intelligence and analytics initiatives.
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 (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.