Senior Advisor, Market Regulation & RSA Strategy

FINRA; Washington (District of Columbia); Hybrid; USD 181,500 - 355,400; Full time

Job summary

FINRA seeks a Senior Advisor: Market Regulation and RSA to act as a strategic regulatory advisor and subject matter expert on market structure, market regulation, and RSA matters.

The role provides leadership in analyzing regulatory developments, shaping organizational positions, and coordinating across Regulatory Operations and stakeholders. Requires 12+ years in securities regulation and a FINRA SIE certification; Hybrid work and significant leadership responsibilities are involved.

Qualifications

• Bachelor's degree required; advanced degree strongly preferred.
• 12+ years of progressive experience in securities regulation, market regulation, compliance, or related regulatory operations roles.
• FINRA SIE certification or acceptable industry equivalent required upon hire or within 16 months of the start date.

Responsibilities

• Monitors, analyzes, and interprets regulatory developments related to market structure and market regulation from exchanges, FINRA, the SEC, and other bodies.
• Provides expert guidance to senior leadership on operational, strategic, and policy implications of new regulatory requirements.
• Directs preparation and distribution of comprehensive regulatory intelligence materials for diverse audiences.
• Represents Regulatory Operations in high-level RSA meetings and organization-wide strategic initiatives.
• Collaborates with OGC on rulemaking, regulatory policy development, and governance matters.
• Leads cross-departmental working groups to develop unified FINRA positions on regulatory issues.

Skills

Regulatory intelligence

Strategic advisory

Policy coordination

Stakeholder management

Analytical skills

Strong communication

Education

Bachelor's degree

12+ years in securities regulation or related roles

SIE certification

Job description

FINRA seeks a Senior Advisor: Market Regulation and RSA to act as a strategic regulatory advisor and subject matter expert on market structure, market regulation, and RSA matters.

The role provides leadership in analyzing regulatory developments, shaping organizational positions, and coordinating across Regulatory Operations and stakeholders. Requires 12+ years in securities regulation and a FINRA SIE certification; Hybrid work and significant leadership responsibilities are involved.