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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates extensive leadership in financial services regulation and risk management, with a strong focus on establishing governance frameworks and leveraging advanced analytics and emerging technologies to inform strategic decision-making. Proven ability to build relationships across diverse stakeholders and drive organizational transformation in complex environments.
Highest-signal resume keywords
15+ Years Leadership ExperienceRisk Management ExpertiseGovernance Framework DevelopmentAdvanced Analytics ProficiencyFINRA Securities Industry Essentials Certification
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Risk Assessment MethodologiesIntelligence OperationsData-Driven Decision MakingAnalytical MethodologiesSecurities Markets KnowledgeBroker-Dealer Operations UnderstandingEmerging Technologies KnowledgeOperational Process EstablishmentCross-Functional Initiative ManagementOrganizational Transformation Leadership
Soft Skills
Exceptional Communication SkillsInfluencing Senior StakeholdersBuilding ConsensusDriving OutcomesFostering Innovation
Tools & Technologies
Artificial IntelligenceMachine LearningRisk Monitoring FrameworksSurveillance SystemsData Analysis Tools
Certifications & Qualifications
FINRA Securities Industry Essentials CertificationAcceptable Industry Equivalent Certification
Industry Keywords
Financial Services RegulationSROSECRegulatory FrameworksIntelligence AnalysisCrypto AssetsAlgorithmic TradingCyber ThreatsFraud SchemesCompliance Standards
About the role
Key responsibilities & impact- Establish and execute the strategic vision for Risk and Intelligence as FINRA's central hub for integrated risk assessment and intelligence operations
- Advise executive leadership and the Board on systemic risks, emerging threats, and regulatory priorities
- Lead a 300+ person division across four departments
- Drive collaboration across Regulatory Operations so risk intelligence informs examination priorities, investigations, surveillance, and enforcement actions
- Build and maintain relationships across FINRA
- Engage with member firms through membership applications, risk monitoring meetings, and intelligence sharing
- Participate in member firm committee meetings, roundtables, and webinars
- Build relationships with industry participants, regulators, law enforcement, and intelligence partners
- Oversee sophisticated risk monitoring frameworks using surveillance, examination, enforcement, and other data sources
- Direct intelligence operations identifying patterns, connections, and trends across member firms, market events, and external threats
- Establish governance frameworks for risk assessment methodologies, intelligence standards, and information-sharing protocols
- Ensure timely distribution of actionable intelligence to organizational stakeholders
- Champion advanced analytics, artificial intelligence, machine learning, and emerging technologies
- Develop capabilities to identify and assess frontier risks involving crypto assets, algorithmic trading, cyber threats, and novel fraud schemes
- Foster innovation, continuous learning, and analytical rigor
- Recruit, develop, and retain talent across risk management, intelligence analysis, data science, and regulatory domains
- Establish career development pathways and training programs
Requirements
What you’ll need- 15+ years of progressive leadership experience in financial services regulation, risk management, intelligence operations, or related fields
- Deep understanding of securities markets, broker-dealer operations, and regulatory frameworks
- Proven track record of building and leading complex, multi-disciplinary organizations
- Ability to translate complex data and intelligence into strategic insights and actionable recommendations
- Strong executive presence with exceptional communication skills and ability to influence senior stakeholders
- Experience establishing governance frameworks and operational processes for risk and intelligence functions
- Bachelor's degree required
- FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification required upon hire or within 16 months of the start date of the assigned SIE training cohort
- Direct experience in SRO, SEC, or other financial regulatory environment preferred
- Background in intelligence operations preferred
- Experience managing cross-functional initiatives across large, complex organizations preferred
- Knowledge of emerging technologies and their implications for market structure and regulatory oversight preferred
- Ability to anticipate future risks and proactively position the organization to address them
- Comfort with data-driven decision making and sophisticated analytical methodologies
- Ability to build consensus and drive outcomes across organizational boundaries
- Ability to distill complex risk and intelligence assessments for diverse audiences
- Experience leading organizational transformation and cultural change
- Impeccable ethical standards and sound judgment in handling sensitive information
- FINRA employees must comply with Code of Conduct investment restrictions and financial disclosure requirements
- New employees must comply with FINRA prohibited securities restrictions by their employment start date
- Employees must maintain disclosed securities accounts at firms providing FINRA electronic data feeds and move other accounts within three months of beginning employment
- Employees must execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's nepotism policy
Benefits
Comp & perks- Discretionary bonus may be available in addition to base pay
- Comprehensive health, dental and vision insurance
- Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life insurance
- Spouse/domestic partner and dependent accidental death and dismemberment 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 and wellness programs
- Paid time off starting at 15 days and 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
- Family member care leave after 90 days of employment
- Childbirth and parental leave after 90 days of employment
- 9 paid holidays for full-time employees