Executive Vice President, Risk & Intelligence

Financial Industry Regulatory Authority, Inc.; Washington (District of Columbia); Hybrid; USD 180,000 - 250,000; Full time

Job summary

Financial Industry Regulatory Authority, Inc. is hiring an Executive Vice President, Risk & Intelligence to provide strategic leadership in overseeing risk monitoring and intelligence operations. The ideal candidate will have over 15 years of experience in financial services regulation and possess a deep understanding of the securities markets.

The role includes engaging with regulatory bodies, driving innovation in risk detection, and developing a high-performance team. This position is based in Washington, DC, or New York, NY, offering a hybrid work environment.

Qualifications

• 15+ years of leadership experience in relevant fields.
• Proven track record of leading complex organizations.
• Strong executive presence with exceptional communication skills.

Responsibilities

• Oversee departments related to risk monitoring and intelligence.
• Establish and execute the strategic vision for Risk and Intelligence.
• Champion advanced analytics and technology adoption.

Skills

Leadership experience in financial services regulation

Understanding of securities markets

Communication skills

Analytical skills

Education

Bachelor's degree

Advanced degree (MBA, JD, or relevant Master's)

Job description

## Executive Vice President, Risk & IntelligenceApplylocations: Washington, DC (Job Posting): Boston: Tysons Corner: Chicago (North Wacker Drive): Woodbridgetime type: Full timeposted on: Posted 2 Days Agojob requisition id: R-010058The Executive Vice President of Risk and Intelligence is a strategic leader reporting directly to the Chief Regulatory Operations Officer, serving as key member of the Regulatory Operations Senior Leadership Team. This role will directly oversee the four departments related to risk monitoring, intelligence, collection and dissemination, and emerging risk identification to enhance FINRA's regulatory effectiveness.**Division Structure:**The EVP will lead four dedicated departments:* **Risk Monitoring, Statutory Disqualification** **& Membership Application Team** – Risk Monitoring proactively monitors, analyzes, and assesses risk which enables FINRA to implement a risk-based regulatory program. The Membership Application Program reviews and approves of new and continuing membership applications. These teams work continuously to engage and assess member firm and market risk.* **Intelligence** – Collection, analysis, and synthesis of regulatory intelligence from internal and external sources* **Risk Identification Operations Center** – Translation of insights into actionable intelligence products and enablement of cross-organizational decision-making* **Frontier Risk** – Identification and analysis of emerging threats, including technology-driven risks, novel market structures, GenAI, tokenization, digital assets, and evolving regulatory challenges**Key Responsibilities:****Strategic Leadership*** Establish and execute the strategic vision for Risk and Intelligence as FINRA's central hub for integrated risk assessment and intelligence operations* Serve as a key advisor to executive leadership and the Board on systemic risks, emerging threats, and regulatory priorities* Drive collaboration across Regulatory Operations departments to ensure risk intelligence informs (and is informed by) examination priorities, investigations, surveillance, and enforcement actions* Build and maintain relationships across FINRA**Broker/Dealer Expertise*** Engage with member firms across several fronts to include membership applications, risk monitoring meetings, and intelligence sharing* Participate in member firm committee meetings, roundtables, webinars related to the intersection of risk, effective practices, escalations, and engagement with membership* Build and maintain relationships with industry participants, other regulators, law enforcement, and intelligence partners**Operational Excellence*** Oversee the development of sophisticated risk monitoring frameworks that synthesize data from surveillance, examinations, enforcement, and other internal and external sources* Direct intelligence operations that identify patterns, connections, and trends across member firm activities, market events, and external threat vectors* Establish governance frameworks for risk assessment methodologies, intelligence standards, and information sharing protocols* Ensure timely dissemination of actionable intelligence to appropriate stakeholders across the organization**Innovation and Modernization*** Champion the adoption of advanced analytics, artificial intelligence, machine learning, and other emerging technologies to enhance risk detection and intelligence capabilities* Build a forward-looking capability to identify and assess frontier risks including those related to crypto assets, novel algorithmic trading, cyber threats, and novel fraud schemes* Foster a culture of innovation, continuous learning, and analytical rigor within the division**Team Development*** Recruit, develop, and retain top-tier talent across risk management, intelligence analysis, data science, and regulatory domains* Create a collaborative, high-performance culture that values diverse perspectives and interdisciplinary approaches* Establish career development pathways and training programs to build organizational capability**Qualifications:** **Required*** 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* Demonstrated 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; advanced degree (MBA, JD, or relevant Master's) strongly preferred **Preferred*** Direct experience in SRO, SEC, or other financial regulatory environment* Securities Licenses: SIE, Series 7, Series 24* Background in intelligence operations* Experience managing cross-functional initiatives across large, complex organizations* Knowledge of emerging technologies and their implications for market structure and regulatory oversight **Core Competencies*** **Strategic Vision** – Ability to anticipate future risks and position the organization to address them proactively* **Analytical Rigor** – Comfort with data-driven decision making and sophisticated analytical methodologies* **Collaborative Leadership** – Skilled at building consensus and driving outcomes across organizational boundaries* **Communication Excellence** – Ability to distill complex risk and intelligence assessments for diverse audiences* **Change Management** – Experience leading organizational transformation and cultural change* **Judgment and Integrity** – Impeccable ethical standards and sound judgment in handling sensitive information **Location:**This position is based at FINRA headquarters in Washington, DC, or New York, NY. #LI-Hybrid**To be considered for this position, please submit an application.** **Applications are accepted on an ongoing basis.***The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.****Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.***