Teams at FINRA

Leads market strategy and regulatory research for Surveillance, assessing regulatory risks, market trends, rule changes, and significant events. Produces executive reports, presentations, SWOT analyses, and risk assessments; supports audits, SEC oversight inspections, and strategic planning. Builds relationships with senior leaders, regulators, and market participants while coordinating cross-functional responses to investor protection risks. Requires extensive securities regulation, broker-dealer operations, market surveillance, regulatory strategy, executive reporting, and leadership experience.

Conduct risk monitoring and ongoing assessments of FINRA member firms, including complex and elevated-risk organizations. Analyze regulatory intelligence, financial and external data, business models, and industry risks; develop recommendations and regulatory responses; collaborate with internal and external stakeholders; lead special projects and technology initiatives; and mentor junior staff. The role requires advanced knowledge of FINRA risk fundamentals, securities regulations, U.S. GAAP, and strong analytical, communication, and research skills.

Leads FINRA’s strategic intelligence function, overseeing teams that identify, analyze, and predict threats, emerging risks, and regulatory trends affecting financial markets. Develops intelligence frameworks, collection strategies, assessments, briefings, and executive communications. Advises senior leadership, collaborates with regulators and law enforcement, manages organizational resources, and builds high-performing intelligence teams. Requires extensive intelligence expertise, financial regulatory knowledge, strategic leadership, and the ability to translate technical analysis into actionable insights.