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Senior Vice President, Regulatory Relations
2 months ago
Position Overview:
The Senior Vice President of Regulatory Relations is accountable for enhancing and leading the Office of Regulatory Liaison (ORL) within Member Supervision. As a pivotal member of the Member Supervision leadership team, this role will closely collaborate with FINRA's Office of Liaison and Counsel (OLC) and the Government Relations Group, acting as the primary representative for Member Supervision executive leadership in cultivating and sustaining robust relationships with external regulatory bodies, including the SEC and various Federal and State Regulators.
Key Responsibilities:
- Relationship Management: Foster strong, trusting connections with regulatory agencies.
- Strategic Engagement: Lead proactive interactions with the SEC and State regulators, working in tandem with OLC and Government Relations to establish and maintain effective partnerships.
- Executive Interaction: Confidently engage with high-level officials from FSIO and other SEC divisions, as well as state securities divisions, representing the interests of Member Supervision.
- Feedback Integration: Solicit and incorporate feedback from regulators to enhance ongoing engagements and relationships.
- Advisory Role: Provide strategic counsel to the Member Supervision EVP regarding the organizational structure and staffing of ORL to effectively manage regulatory relationships.
Regulatory Insight:
- Identify and analyze regulatory trends and patterns that may signal emerging risks to investors and the market based on external interactions.
- Prepare high-quality, strategic responses to regulatory inquiries and equip executive leadership for oversight meetings.
Complex Inquiry Management:
- Oversee the timely and thoughtful responses to multifaceted inquiries from external regulators, ensuring risk mitigation.
- Conduct preparatory sessions for FSIO exam-related inquiries to ensure consistent and informed responses from Member Supervision.
- Recommend enhancements to programs or additional testing based on collective insights from ongoing regulatory interactions.
Collaboration with FINRA Departments:
- Manage all aspects of scheduled and ad hoc meetings with regulatory bodies to achieve set objectives, including participant selection and preparation.
- Streamline the 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 effectively communicate Member Supervision's activities.
Metrics Development:
- Oversee the creation of reports for senior leadership that highlight regulatory focus areas, findings, and emerging trends that may indicate risks to investors and markets.
Subject Matter Expertise:
Serve as a knowledgeable resource on regulatory issues and relationships, leading a team dedicated to achieving the objectives of the Office of Regulatory Liaison and strengthening partnerships with Federal and State Regulators.
Qualifications:
- Bachelor's Degree in Accounting, Finance, Economics, Business Administration, or related fields is preferred.
- Advanced degrees such as an MBA or JD, along with relevant industry certifications, are advantageous.
- Extensive experience in securities, compliance, or financial regulation.
- Proven track record in managing complex projects and leading teams.
- In-depth knowledge of FINRA, SEC, and SRO regulations.
- Exceptional communication, interpersonal, and leadership skills.
- Ability to make informed decisions independently and efficiently.
Work Environment:
- This position operates in a hybrid work setting with potential travel requirements.
