Director, Market Strategy – Research

FINRA

. Lead proactive regulatory risk assessment and development of regulatory strategy .

Posted 9/18/2026full-timeNew York City • California • United StatesLead💰 $134,400 - $312,600 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates extensive experience in regulatory risk assessment and strategy development, with a strong focus on compliance and financial regulation. Proven ability to manage complex projects, deliver executive-level reporting, and collaborate effectively with senior leadership and regulatory bodies.

Highest-signal resume keywords

Regulatory Risk AssessmentFINRA Securities Industry Essentials (SIE) CertificationExecutive-Level ReportingSecurities Market Structure KnowledgeProject Management

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Regulatory Strategy DevelopmentRule Change ManagementData AnalyticsMarket SurveillanceRisk-Based Decision MakingQualitative ResearchSWOT AnalysisFinancial Regulation KnowledgeCompliance ManagementPresentation Development

Soft Skills

CollaborationTeam-BuildingWritten CommunicationVerbal CommunicationOrganizational Skills

Certifications & Qualifications

FINRA Securities Industry Essentials (SIE) CertificationMBAJD

Industry Keywords

SecuritiesComplianceFinancial RegulationBroker-DealersMarket IntegrityInvestor ProtectionRegulatory OperationsSECFINRAMarket Trends

About the role

Key responsibilities & impact

Lead proactive regulatory risk assessment and development of regulatory strategy
Conduct continuous qualitative research into market conditions and developments with Surveillance Operations leadership
Manage an analyst producing specialized reports on critical regulatory issues and trends for senior management and Regulatory Ops business lines
Assess departmental issues, determine courses of action, and analyze high-risk or urgent matters for senior leadership
Develop and maintain relationships with senior organizational leaders, the SEC, other regulators, and market participants
Develop and manage Surveillance environmental SWOT analysis and support strategic goal development
Identify, develop, and respond to rule-change management issues, including rules impact analysis
Support SEC oversight inspections and FINRA internal audits
Develop presentations and reports for the board and Management Committee
Represent senior leadership at meetings and events with internal and external stakeholders
Prepare for and respond to significant market events with organizational counterparts
Formulate FINRA responses to issues and trends posing ongoing investor-harm risks with Investor Education and Corporate Communications
Support Enterprise Risk Management and provide input on Regulatory Ops risk assessments
Collaborate in person and virtually to advance investor protection and market integrity

Requirements

What you’ll need

Bachelor's Degree and a minimum of ten (10) years of experience in securities, compliance or financial regulation required, or an equivalent combination of education and experience
MBA, JD, other graduate degree and/or relevant industry certification(s) preferred
Functional knowledge of FINRA's risk hierarchy and its relationship to Regulatory Ops strategic goals and operations
Advanced knowledge of rule changes and interpretations related to regulatory operations
FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent required upon hire or within 16 months of the assigned SIE training cohort
Advanced knowledge of industry-wide events and trends
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 and experience with the regulation and operation of U.S. broker-dealers and familiarity with the broader financial regulation landscape
Experience with securities market structure issues, associated data, regulations and/or market surveillance business processes strongly preferred
Proven record of acting independently in an unstructured environment to identify and address challenges, make risk-based decisions, develop initiatives, and strengthen programs
Strong collaboration and team-building skills, with excellent written and verbal communication, interpersonal, and presentation skills
Exceptional organizational skills and ability to manage multiple complex assignments concurrently and meet tight deadlines
Excellent leadership skills and ability to interact effectively with people from varied backgrounds to reach timely, informed decisions
Proven record of project management, process improvement, goal attainment, and producing high-quality written work products
FINRA Code of Conduct compliance, including brokerage account disclosures and investment restrictions
Ability to execute FINRA’s Employee Confidentiality and Invention Assignment Agreement and comply with the company’s nepotism policy

Benefits

Comp & perks

Discretionary bonus eligibility
Comprehensive health, dental and vision insurance
Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life insurance
Short- and long-term disability insurance
Long-term care insurance
Business travel accident insurance
Legal insurance
Immediate participation and vesting in a 401(k) plan with company match
Eligibility for an additional FINRA-funded retirement contribution
Tuition reimbursement
Commuter benefits
Adoption assistance
Backup family care
Surrogacy benefits
Employee assistance
Wellness programs
15 days of paid time off increasing up to 25 days with years of service
5 personal days
9 sick days
2 volunteer service days
Military leave
Jury duty leave
Bereavement leave
Voting and election official leave
Care of a family member leave after 90 days of employment
Childbirth and parental leave after 90 days of employment
9 paid holidays for full-time employees
Hybrid work environment