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Senior Strategic Consultant, Market Oversight

2 months ago

Kansas City, Missouri, United States FINRA Full time


The Principal Advisor in Regulatory Affairs & Transparency Services ("RATS") plays a pivotal role in providing leadership and strategic guidance to the head of Strategic Regulatory Engagement ("SRE") in executing a comprehensive array of functions.

This position is vital for enabling RATS to effectively formulate and implement strategies, liaise with key stakeholders and governmental bodies, and fulfill the objectives and priorities of the department.


Key Responsibilities:
Act as a crucial 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 thought partner and trusted advisor.

Act as a liaison for operational, regulatory, and policy matters that arise, which would otherwise necessitate the attention or involvement of senior leadership.

Evaluate issues impacting the department and determine the appropriate course of action.

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

Foster and maintain effective relationships with senior leaders across the organization and with external stakeholders including the SEC, law enforcement agencies, and state regulators as necessary.

Support all levels of the senior management team in synthesizing internal and external stakeholder feedback, 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 reports, identifying subject matter experts, aggregating feedback for proposed regulations, etc.) for the Department.

Identify, develop, and respond to regulatory change management issues, including impact analysis of rules; creation and coordination of policy/procedure content with Regulatory Programs and within the department; development of relevant control environments; and content approval.

Coordinate within the department for the implementation of new and existing regulations, reviewing end-to-end process controls and related assessments.
Assess business unit structures and processes, identifying issues that hinder operational effectiveness and efficiency. Drive decisions and facilitate the implementation of new programs and enhancements or streamlining of existing initiatives.
Collaborate with the senior management team on SEC oversight inspections and 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 across the organization when necessary.

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

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

Work with other FINRA departments, including Investor Education and Corporate Communications, to formulate responses to issues and trends that pose a risk of ongoing investor harm.


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 Regulatory Affairs & Transparency Services.

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

In-depth knowledge of regulatory changes and interpretations and their implications for the Regulatory Affairs & Transparency Services functional teams.

Expertise in industry-wide events and trends.
Comprehensive knowledge of FINRA departments and their 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 landscape of financial regulation.

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

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

Exceptional organizational abilities, with attention to detail and the capacity to manage multiple complex assignments concurrently while meeting tight deadlines.

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

Proven track record in project management, process improvement, and achieving goals, as well as producing high-quality written documentation.


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

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