Provide critical leadership in regulatory risk assessment and strategy development
Conduct continuous qualitative research into market conditions
Develop specialized reports on regulatory issues and trends
Assess and analyze high risk urgent issues requiring senior leadership attention
Develop and maintain effective relationships with senior leaders and external constituents
Manage Surveillance environmental SWOT analysis and support strategic goal development
Identify and respond to rule change management issues
Evaluate business unit structures and eliminate barriers to operational effectiveness
Drive decisions and support implementation of new programs and streamline existing ones
Prepare for and respond to SEC inspections and FINRA audits
Prepare presentations and reports for board and Management Committee

Bachelor's Degree in securities, compliance, or financial regulation
Minimum of ten (10) years of experience in securities, compliance or financial regulation
MBA, JD, or other graduate degree and/or relevant industry certification(s) preferred
Functional knowledge of FINRA's risk hierarchy
Advanced knowledge of rule changes and interpretations
Proven record of creating and providing executive level reporting using metrics, analysis, and data analytics
Experience making internal and external presentations as a subject matter expert
Substantial knowledge of U.S. broker-dealers regulation
Experience with securities market structure issues and market surveillance processes strongly preferred
Ability to act independently in an unstructured environment
Strong collaboration and excellent organizational skills

Senior Director, Market Strategy – Research

Key skills