Overview In this role you support the transformation of risk data into coordinated regulatory action within Regulatory Operations. You will analyze diverse data sources to identify high-risk firms, branches, and individuals, and shape intelligence-driven work plans. You contribute to governance, performance metrics, and cross-program information sharing to strengthen compliance actions. You will lead select initiatives, mentor colleagues, and collaborate with external regulators to advance FINRA's mission of market integrity. Compensation / Benefitscomprehensive health, dental, and vision insurance401(k) with company matchtuition reimbursementcommuter benefitswellness programspaid time off and holidays ResponsibilitiesAnalyze multiple regulatory data sources to identify and assess risks across firms, branches, and registered representativesCreate and disseminate execution-focused guidance to support consistent regulatory actionsFacilitate real-time information sharing across regulatory programsConduct post-regulatory work analysis to validate risk predictions and improve intelligence lifecycleContribute to operational metrics and KPIs for senior managementExecute cross-functional regulatory tasks benefiting multiple programsLead and participate in Governance Committees and program governanceMaintain advanced knowledge of departmental functions and industry developmentsCultivate relationships across FINRA, regulators, and external stakeholdersLead special projects and ad hoc initiatives; coach junior colleaguesModel collaborative leadership and empower talent; foster inclusive cultureDemonstrate FINRA values and investor-protection missionCollaborate with stakeholders to achieve strategic objectives such as issue remediationCoordinate efforts to standardize procedures and ensure consistent applicationTrain staff on process changes and tools Key requirementsBachelor's Degree in a relevant field or equivalent experienceLeadership experience in accounting, audit, legal, compliance or related fieldFINRA SIE certification required on hire or within 16 months of start dateStrong knowledge of securities industry rules and guidelinesProficiency with Microsoft Office suiteExcellent interpersonal, negotiation, and communication skillsAbility to manage multiple complex assignments independentlyStrong project management and organizational skillsAbility to work with senior management and external regulatorsHybrid work environment toleranceinterpersonal skillsnegotiation and diplomacyrelationship-building across levelsMicrosoft Office Suitedeep knowledge of securities regulations and guidelinesdata analysis and risk assessment
Not specified in the original listing.
Not specified in the original listing.
