Strategic Advisor, Market Regulation

1 month ago

Boca Raton, United States Financial Industry Regulatory Authority , Inc. Full time
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

New York, NY: Minimum Salary $179,600, Maximum Salary $351,200

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

#LI-Hybrid

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

Please note: If the "Apply Now" button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.

FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at [redacted] or by email at EmployeeR[redacted]. Please note that this process is exclusively for inquiries regarding application accommodations.

Employees may be eligible for a discretionary bonus in addition to base pay. FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes 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. FINRA offers 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 and many other benefits.

Time Off and Paid Leave*

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes 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); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

*Based on full-time schedule

Important Information

FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code's investment and securities account restrictions, and new employees must comply with those investment restrictions-including disposing of any security issued by a company on FINRA's Prohibited Company List or obtaining a written waiver from their Executive Vice President-by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

You can read more about these restrictions here.

As standard practice, employees must also execute FINRA's Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company's policy on nepotism.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person's relatives, friends or associates.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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