- Lead and oversee intelligence professionals identifying, analyzing, and predicting risks, emerging threats, and regulatory trends
- Develop finished intelligence products using proactive and predictive analytics
- Partner with technical experts across Regulatory Operations and serve as a bridge between technical expertise and strategic intelligence dissemination
- Identify and evaluate risks and threats at product, market, and industry levels
- Advise senior management and business stakeholders on regulatory oversight, emerging risks, and intelligence-driven initiatives
- Drive strategic discussions, decisions, and cross-departmental initiatives
- Recommend improvements supporting investor protection and market integrity
- Build relationships with FINRA, the SEC, regulators, law enforcement agencies, intelligence partners, and market infrastructure providers
- Represent FINRA at committees, task forces, conferences, and public speaking events
- Lead intelligence operations and oversee strategic intelligence products, assessments, briefings, and communications
- Develop intelligence frameworks, collection strategies, standards, and dissemination protocols
- Monitor financial-services developments and emerging risks
- Supervise, develop, and mentor subject-matter experts, intelligence specialists, and other staff
- Create annual plans, set priorities, manage resources, and oversee staffing, training, technology, and budgets
- Attract, develop, and retain talent and foster a high-performing culture
- Communicate complex intelligence assessments and technical data to internal and external audiences
- Promote collaboration, intelligence sharing, and success of intelligence and analytics initiatives
Requirements
- Bachelor's degree, or equivalent, from an accredited college or university
- Minimum ten years' experience in intelligence collection, analysis, dissemination, and planning
- Deep expertise in developing and executing intelligence-cycle and threat/strategic-intelligence strategies
- Extensive knowledge of intelligence structures, capabilities, processes, and policy development
- Strong knowledge of collection requirements and experience driving collection, identifying collection gaps, and developing intelligence products
- Substantial knowledge of U.S. broker-dealer regulation and operations
- Familiarity with financial regulation and oversight of market participants, financial markets, and products
- Experience adapting technology innovation to business problems through software products and analytics
- Proven ability to act independently in an unstructured environment and develop initiatives
- Proven leadership skills across compliance, risk, intelligence, data analytics, and technology disciplines
- Strategic and critical thinking skills
- Strong written, verbal, and presentation skills
- Sound judgment, integrity, ethical behavior, and transparency
- Exceptional organizational skills and ability to manage multiple complex assignments and tight deadlines
- Law degree, advanced business degree, or other graduate degree preferred
- Previous broker-dealer or financial-institution experience preferred
- Experience with financial products, market operations, intelligence methodologies, or related specialized areas preferred
- Extended hours and overnight travel as needed
- Employees must comply with FINRA investment restrictions and financial disclosure requirements
Core Competencies
Demonstrates deep expertise in intelligence collection, analysis, and dissemination, with a strong focus on regulatory oversight and market integrity. Proven ability to lead strategic discussions and initiatives while fostering collaboration and mentoring within intelligence operations.
Highest-signal resume keywords
- Intelligence Collection
- Regulatory Oversight
- Strategic Intelligence Development
- Data Analytics
- Leadership in Compliance
ATS Optimization Keywords
Hard Skills
- Intelligence Analysis
- Predictive Analytics
- Risk Assessment
- Intelligence Cycle Execution
- Collection Requirements Development
- Financial Regulation Knowledge
- Market Operations Expertise
- Intelligence Methodologies
- Technical Data Communication
- Strategic Planning
Soft Skills
- Strong Written Communication
- Verbal Presentation Skills
- Critical Thinking
- Organizational Skills
- Sound Judgment
Certifications & Qualifications
- Bachelor's Degree
- Law Degree Preferred
- Advanced Business Degree Preferred
Industry Keywords
- FINRA
- SEC
- Broker-Dealer Regulation
- Financial Markets
- Market Integrity
- Intelligence Frameworks
- Compliance
- Risk Management
- Financial Products
- Intelligence Operations