The Strategic Advisor in Market Regulation & Transparency Services ( MRTS ) provides critical leadership and strategic support to the head of Strategic Regulatory Engagement ( SRE ) in the performance of a full and diverse range of functions.

This role is essential to enabling MRTS to effectively develop and execute on strategy, engage in liaison with key partners and government agencies, as well as achieve the goals and priorities of the department.

Essential Job Functions :

Serve as a key member of the senior management team for the Department. Work closely with the head of SRE and the senior management team to effectively manage and support the strategic operations of the department, and act as a strategic thought partner and trusted advisor.
Serve as intermediary for operational, regulatory and policy issues that arise that would otherwise require the attention or involvement of senior leadership.

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, criminal authorities, and state regulators as needed.
Serve all levels of the senior management team in the areas of synthesizing internal and external stakeholder feedback, and providing guidance and advice on a broad set of operational and regulatory initiatives including career development, diversity, inclusion and leadership initiatives.
Lead the efforts to respond to stakeholder needs (e.g. Annual Report input, identifying SMEs, aggregating feedback for proposed rules, etc.) for the Department.
Identify, develop, and respond to rule change management issue to include rules impact analysis; policy / procedure content creation / coordination with Regulatory Programs and within department;

identify / develop relevant control environment; and content approval

Lead coordination within the department for new and existing rules implementation, end-to-end process controls review, and related assessments.
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, reports including board and Management Committee reporting, projects plans and metrics.
Orchestrate and facilitate department events, including meeting agendas, logistics, and follow-up, involving the senior management team and across the organization when necessary.
Represent senior leadership at meetings and events with internal and external stakeholders when necessary.
Work with appointed Regulatory Liaisons across the department on a variety of non-oversight access request and regulatory oversight production issues when appropriate.
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.

Education / Experience 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.

MBA, JD, other graduate degree and / or relevant industry certification(s) preferred.
Functional knowledge of FINRA's risk hierarchy and how it relates to Market Regulation & Transparency Services.
Advanced knowledge of FINRA, MSRB and other SRO rules and the Securities Exchange Act of 1934 and the rules and regulations thereunder.
Advanced knowledge of rule changes and interpretations and how they relate to the Market Regulation & Transparency Services functional teams.
Advanced knowledge of industry wide events and trends.
Expert knowledge of FINRA departments and their mandates.
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 an 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 product.

Working Conditions :

Work is normally performed in an office environment. Extended hours and occasional travel may be required.

For work that is performed in CA, Washington, DC, CO, HI, MN, VT, New York, NY, WA and MD the chart below outlines the proposed salary range for the corresponding location.

In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons .

California : Minimum Salary $171,900, Maximum Salary $351,200

Washington, DC / Maryland : Minimum Salary $171,900, Maximum Salary $336,600

Colorado / Hawaii / Minnesota / Vermont : Minimum Salary $149,600, Maximum Salary $292,600

Washington State : Minimum Salary $149,600, Maximum Salary $336,600

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Last updated : 2024-07-31

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