Senior Strategic Consultant, Market Oversight

2 weeks ago

Kansas City, Missouri, United States FINRA Full time


The Principal Advisor in Market Regulation & Transparency Services ("MRTS") plays a pivotal role in providing strategic leadership and support to the head of Strategic Regulatory Engagement ("SRE") across a comprehensive array of functions.

This position is vital for enabling MRTS to successfully formulate and implement strategies, foster collaboration with key stakeholders and government entities, and fulfill the objectives and priorities of the department.


Key Responsibilities:
Act as an integral member of the senior management team for the Department.

Collaborate closely with the head of SRE and the senior management team to efficiently oversee and support the strategic operations of the department, serving as a strategic advisor and trusted partner.

Act as a liaison for operational, regulatory, and policy matters that may require the attention of senior leadership.

Evaluate issues affecting the department and determine appropriate actions.

Identify, assess, and analyze high-risk and urgent matters that necessitate senior leadership's attention, presenting these issues in a clear and concise manner.

Build and maintain strong relationships with senior leaders across the organization and with external FINRA stakeholders, including the SEC, law enforcement, and state regulators as necessary.

Support all levels of the senior management team by synthesizing feedback from internal and external stakeholders, and providing guidance on a wide range of operational and regulatory initiatives, including career development, diversity, inclusion, and leadership programs.

Lead efforts to address stakeholder needs (e.g., input for Annual Reports, identifying subject matter experts, consolidating feedback for proposed regulations, etc.) for the Department.

Identify, develop, and manage rule change issues, including impact analysis, policy/procedure content creation, coordination with Regulatory Programs, and internal departmental collaboration; establish relevant control environments and secure content approval.

Coordinate within the department for the implementation of new and existing regulations, review end-to-end process controls, and conduct related assessments.
Assess business unit structures and processes to identify barriers to operational effectiveness and efficiency. Drive decision-making and implementation for the creation of new programs and the enhancement or streamlining of existing initiatives.
Collaborate with the senior management team on SEC oversight inspections and FINRA internal audits.
Prepare presentations, reports, including board and Management Committee documentation, project plans, and performance metrics.

Organize and facilitate departmental events, including meeting agendas, logistics, and follow-up, involving the senior management team and other organizational stakeholders as needed.

Represent senior leadership at meetings and events with internal and external stakeholders when required.

Collaborate with appointed Regulatory Liaisons across the department on various non-oversight access requests and regulatory oversight production issues as appropriate.

Engage with other FINRA departments, including Investor Education and Corporate Communications, to develop responses to issues and trends that may pose risks to investors.


Qualifications:


A Bachelor's Degree and a minimum of ten (10) years of experience in securities, compliance, or financial regulation is required; or an equivalent combination of education and experience.

An MBA, JD, other graduate degree, and/or relevant industry certifications are preferred.
Functional knowledge of FINRA's risk hierarchy and its relation to Market Regulation & Transparency Services.

Advanced understanding of FINRA, MSRB, and other SRO regulations, as well as the Securities Exchange Act of 1934 and its associated rules and regulations.

In-depth knowledge of rule changes and interpretations as they pertain to the Market Regulation & Transparency Services functional teams.

Comprehensive awareness of industry-wide events and trends.
Expertise in FINRA departments and their respective mandates.
Demonstrated ability to create and deliver executive-level reporting utilizing metrics, analysis, and data analytics.
Experience in making internal and external presentations as a subject matter expert.
Extensive knowledge of, and experience with, the regulation and operation of U.S. broker-dealers, along with familiarity with the broader financial regulatory landscape.

Proven ability to operate independently in an unstructured environment to identify and tackle challenges, make risk-based decisions, develop new initiatives, and enhance existing programs.

Strong collaborator and team builder, with exceptional written and verbal communication, interpersonal, and presentation skills.

Outstanding organizational skills, with a keen attention to detail and the capacity to manage multiple complex assignments simultaneously while meeting tight deadlines.

Excellent leadership capabilities, including the ability to interact effectively and positively with individuals from diverse backgrounds to achieve timely, informed decisions.

Demonstrated project management, process improvement, and goal attainment skills, along with the ability to produce high-quality written work products.


Work Environment:
Work is typically conducted in an office setting. Extended hours and occasional travel may be necessary.

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