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Senior Vice President, Regulatory Relations
2 months ago
Position Overview:
The Senior Vice President of Regulatory Relations is tasked with enhancing and leading the Office of Regulatory Relations (ORR) within Member Oversight. As a pivotal member of the Member Oversight leadership team, the SVP will collaborate closely with FINRA's Office of Liaison and Counsel (OLC) along with its Government Relations Group, acting as the principal liaison and representative for Member Oversight executive leadership in fostering and sustaining robust relationships with external regulatory bodies, including the SEC and various Federal and State Regulators.
Key Responsibilities:
- Establish and nurture strong, trustworthy relationships with regulatory agencies.
- Adopt a strategic approach to leading and managing interactions with the SEC and State regulators, working in partnership with OLC and Government Relations to build and maintain effective working relationships.
- Engage confidently and independently with executive leaders from FSIO and other SEC divisions, as well as state securities division heads, representing the Member Oversight EVP and senior leadership.
- Solicit feedback from regulators regarding ongoing engagements and overall relationship management, using this input to enhance future interactions.
- Advise the Member Oversight EVP on the organizational structure and staffing of ORR to effectively manage regulatory relationships.
Strategic Advisory Role:
- Provide strategic insights to Member Oversight executive leadership concerning regulatory trends and patterns that may signal emerging risks to investors and the market.
- Prepare high-quality, strategic responses to regulatory inquiries and equip executive leadership for oversight meetings.
Management of Regulatory Inquiries:
- Oversee responses to complex and concurrent inquiries from external regulators, ensuring timely and well-considered responses to mitigate risk.
- Conduct preparation sessions for FSIO exam-related inquiries to ensure consistent and confident responses from Member Oversight.
- Recommend enhancements to programs or additional testing to minimize risks identified during FSIO oversight reviews.
Collaboration with FINRA Departments:
- Manage all aspects of regular and ad hoc meetings with the SEC and state regulators to achieve set objectives, including participant selection and pre-meeting preparation.
- Lead the strategic management of SEC FSIO oversight exams and quarterly meetings, ensuring a consistent approach from initiation to final reporting.
- Work with the Data & Analytics team to create informative metrics that respond to regulatory requests and accurately reflect Member Oversight's activities.
Reporting and Metrics Development:
- Oversee the creation of metrics and reports for senior leadership that highlight regulatory focus areas, findings, and emerging risks.
Subject Matter Expertise:
Serve as a subject matter expert on regulatory issues and relationships, leading a team dedicated to achieving the objectives of the Office of Regulatory Relations and strengthening partnerships with Federal and State Regulators.
Qualifications:
- Bachelor's Degree in Accounting, Finance, Economics, Business Administration, or related fields preferred.
- MBA, JD, or other relevant graduate degrees and certifications preferred.
- Extensive experience in securities, compliance, or financial regulation.
- Proven track record in managing complex projects or programs.
- Demonstrated experience in leading and managing teams.
- Advanced knowledge of relevant FINRA, SEC, and SRO regulations.
- Expertise in understanding the mandates of external regulators.
- Exceptional communication, interpersonal, and leadership skills.
- Ability to make timely, autonomous decisions with minimal oversight.
Work Environment:
- This position operates in a hybrid work environment with potential travel requirements.
