Senior Vice President, Regulatory Relations

1 week ago

New York, New York, United States finra Full time

Position Overview:

The Senior Vice President of Regulatory Relations is accountable for enhancing and guiding the Office of Regulatory Liaison (ORL) within Member Supervision. As a pivotal member of the Member Supervision leadership team, this role will collaborate closely with FINRA's Office of Liaison and Counsel (OLC) and its Government Relations Group, acting as the principal liaison and representative for Member Supervision executive leadership in cultivating and sustaining robust relationships with external regulators, including the SEC and various Federal and State regulatory bodies.

Key Responsibilities:

  • Establish and nurture strong, trusting partnerships with regulatory agencies.
  • Adopt a strategic approach to lead and manage interactions with the SEC and State regulators, working in close partnership with OLC and Government Relations.
  • Engage confidently and effectively with executive leaders from FSIO and other SEC divisions, as well as state securities divisions, representing Member Supervision's executive leadership.
  • Solicit and incorporate feedback from regulators to enhance ongoing engagements and overall relationships.
  • Advise on the organizational structure and staffing of ORL to ensure effective management of regulatory relationships.

Strategic Advisory Role:

  • Provide insights to Member Supervision executive leadership regarding regulatory trends and emerging risks that may impact investors and the market.
  • Develop high-quality, strategic responses to regulatory inquiries and prepare leadership for oversight meetings.
  • Oversee Member Supervision's responses to complex inquiries and reporting requirements from external regulators.
  • Facilitate preparation sessions for FSIO exam-related questions to ensure consistent and confident responses.
  • Recommend enhancements to programs or additional testing to mitigate risks identified through regulator interactions.

Collaboration and Management:

  • Partner with FINRA's OLC, program heads across Member Supervision, and senior leadership to manage meetings with regulators effectively.
  • Lead the management of SEC FSIO oversight exams and quarterly meetings, ensuring a streamlined approach from initiation to final reporting.
  • Work with the Data & Analytics team to create informative metrics that respond to regulatory requests.
  • Gather necessary regulatory intelligence and prepare participants for annual meetings with state regulators.

Metrics and Reporting:

  • Oversee the development of metrics and reports that reflect information sought by regulatory agencies, highlighting areas of focus for proactive engagement.
  • Identify findings and exceptions that require additional attention.
  • Analyze regulatory trends and patterns to identify emerging risks to investors and the markets.

Expertise and Leadership:

Serve as a subject matter expert 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 preferred.
  • MBA, JD, or other relevant graduate degrees and certifications preferred.
  • Extensive experience in securities, compliance, or financial regulation.
  • Proven experience managing complex projects and leading teams.
  • Advanced knowledge of FINRA, SEC, and SRO regulations.
  • Strong communication, interpersonal, and leadership skills.
  • Ability to make timely decisions autonomously.

Work Environment:

  • This position operates in a hybrid work environment.
  • Frequent travel may be necessary.

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