Senior Director, Trading and Product Risk Intelligence

Financial Industry Regulatory Authority, Inc.; Rockville (MD); Ibrido; USD 182.000 - 355.000; Tempo pieno

Vantaggi offerti da questo lavoro

Health insurance

401(k) with company match

Paid holidays

Volunteer service days

Tuition reimbursement

Descrizione del lavoro

FINRA's Strategic Intelligence team within Risk & Intelligence oversees broad regulatory insights and risk assessments. The Senior Director provides leadership to senior managers and analysts across intelligence disciplines, shaping strategic priorities and communicating them across FINRA's programs.

The role guides intelligence frameworks, partnerships with external stakeholders, and the production of actionable insights for senior leadership, regulatory staff, and partners.

Competenze

• Bachelor's degree and minimum of twelve years of experience required.
• Advanced degree in intelligence studies, public policy, business, or law preferred.
• Mastery level knowledge of intelligence functions across disciplines.

Mansioni

• Guide cross-department efforts to identify emerging threats and drive intelligence-led initiatives.
• Lead teams in identifying and predicting risks, regulatory trends, and critical events.
• Represent FINRA in strategic relationships with industry leaders and peers.
• Direct the execution of intelligence frameworks, collection strategies, and dissemination.
• Oversee annual and long-term risk management strategies with senior leadership.
• Lead or participate in panels, working groups, and training on intelligence sharing.

Formazione

Bachelor's degree

Advanced degree (preferred)

Strumenti

Microsoft Office

Descrizione del lavoro

Strategic Intelligence is a team within FINRA's Risk & Intelligence organization that provides strategic and tactical intelligence impacting member firms, investors, and the financial markets, translating into better, more informed, and timely regulatory decisions. The Strategic Intelligence team supports FINRA's Regulatory Programs by identifying, analyzing, and assessing emerging risks and trends, and generating insights through finished intelligence products. The Senior Director, Strategic Intelligence provides broad management and leadership to senior-level managers and analysts with expertise in multiple intelligence disciplines and across the full intelligence cycle. This role requires mastery level knowledge of broker-dealer functional areas as well as complex intelligence practices and principles. This individual advises senior leadership on shaping strategic priorities and communicates them across FINRA's Regulatory Programs, building effective relationships with stakeholders. They also serve as a representative for strategic relationships externally with member firms, law enforcement, and other government intelligence partners in support of both Strategic Intelligence and FINRA's missions.

Essential Job Functions

• Serve as a senior strategic partner to internal and external stakeholders, providing guidance on cross-departmental efforts to identify emerging threats and driving intelligence-led initiatives with measurable impact across the organization.
• Provide guidance and leadership to teams identifying, analyzing, and predicting a broad and complex range of emerging risks, threats, regulatory trends, and critical events, including assessing impact across multiple functions and the broader organization.
• Serve as FINRA's representative for strategic relationships with industry leaders and peers, spearheading the establishment and maintenance of partnerships and networks with internal and external stakeholders to understand and shape intelligence priorities across the enterprise.
• Direct teams in the execution of intelligence frameworks, collection strategies, standards, and dissemination, leveraging extensive expertise across sophisticated intelligence practices, standards, and a broad range of disciplines.
• Direct teams in the execution of measurable operational plans, including setting priorities for the production of Strategic Intelligence products, assessments, briefings, and communications that translate complex intelligence into actionable insights for senior leadership, regulatory staff, and external stakeholders.
• Oversee the development and implementation of annual and longer-term risk management strategies, partnering with senior leadership across FINRA to mitigate risks and threats, and drive alignment on new intelligence concepts, practices, and approaches.
• Lead or participate in conference panels, working groups, and roundtables related to member firm/investor and FINRA staff intelligence sharing.
• Lead or host training events, podcasts, workshops, or live webinars related to FINRA staff training and intelligence sharing.
• Demonstrate FINRA's values. Collaborate, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity. These stay in all JDs.

Education & Experience Requirements

Bachelor's degree and minimum of twelve (12) years of experience required; advanced degree in intelligence studies, public policy, business, or law preferred. Previous experience working and leading teams at a broker-dealer or other type of financial institution or at a government agency or department with a focus on intelligence required. Mastery level knowledge and proven track record of performing advanced and high-complexity intelligence functions across multiple disciplines, representing the full intelligence cycle. Demonstrated success in applying rigorous analytical and strategic thinking skills, particularly in high-risk situations with no precedent for resolution, to assess broad and complex risks and threats with significant implications across the broader organization. Demonstrated track record of making significant improvements to support operational excellence and drive measurable results across several teams and functions. Strong knowledge of FINRA rules and the federal securities laws is required. Strong knowledge of the securities markets and member firm operations is required. Exceptional written and verbal communication and interpersonal skills, including the ability to influence senior leaders and align stakeholders across the organization on new intelligence concepts, practices, and approaches. Broad management and strong leadership background, with proven experience managing three or more senior-level managers and senior individual contributors. Demonstrated experience fostering a functional team-oriented culture and directing the execution of strategies established by senior leadership. Exceptional organizational skills and attention to detail. Expert proficiency in Microsoft Office and other relevant software applications. FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.

Work Conditions

Hybrid work environment, with defined in-person presence requirements. Extended hours and travel may be required.

Salary

• Los Angeles, CA: Minimum Salary $223,000, Maximum Salary $335,000
• San Francisco, CA: Minimum Salary $233,000, Maximum Salary $350,000
• CO/FL/TX: Minimum Salary $158,000, Maximum Salary $308,900
• IL/PA: Minimum Salary $173,600, Maximum Salary $340,200
• MA/MD/VA/Washington, DC: Minimum Salary $181,500, Maximum Salary $355,400
• NY/NJ: Minimum Salary $181,500, Maximum Salary $370,700

Benefits

• Employees may be eligible for a discretionary bonus in addition to base pay.
• Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law.
• As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance.
• Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal.
• FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
• Time Off and Paid Leave* FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program starting at 15 days of paid time off (increasing with years of service, up to 25 days), 5 personal days, and 9 sick days, unless otherwise required by law (all pro-rated in the first year).
• Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule).
• Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment).
• Full-time employees receive nine paid holidays.
• *Based on full-time schedule

Equal Opportunity Statement

FINRA is an Equal Opportunity Employer All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law. FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s Employee Relations team at 240-386-4865 or by email at [e-mail]. Please note that this process is exclusively for inquiries regarding accommodations in the application process. FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities. FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.