Senior Director, Trading and Product Risk Intelligence

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.

For work that is performed in Los Angeles and San Francisco, CA, CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and market considerations. 

 

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

 

#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.

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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

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

You can read more about these restrictions here.

As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

Washington state applicants: click here for required notice(s).

Search Firm Representatives

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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.

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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.

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