Senior Advisor: Market Regulation & Regulatory Service Agreement (RSA)
$202,000–$202,000 year
HybridChicago, Illinois, United States or San Francisco, California, United States
Job Summary
Monitor, analyze, and interpret complex regulatory developments from exchanges, FINRA, the SEC, and other bodies to inform senior leadership on operational and strategic implications. Direct the preparation of comprehensive regulatory intelligence materials and serve as a trusted advisor to the Vice President and Chief Regulatory Operations Officer on enforcement matters. Partner with policy teams to ensure timely codification of new requirements, review operational policies for alignment with FINRA rules, and represent Regulatory Operations in high-level strategic initiatives. Synthesize multi-dimensional input into actionable recommendations and facilitate knowledge sharing across diverse teams. Requires 12+ years in securities regulation, strong knowledge of FINRA rules and RSA frameworks, and a demonstrated ability to influence consensus across organizational boundaries.
Required Qualifications
- Bachelor's degree
- 12+ years of progressive experience in securities regulation, market regulation, compliance, or related regulatory operations roles
- Demonstrated expertise in market structure, trading surveillance, market investigations, or exchange regulation
- Proven track record of policy development, regulatory interpretation, and cross-functional collaboration in complex financial services organizations
- Experience representing organizational interests in regulatory forums or industry working groups
- FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification
- Deep knowledge of FINRA rules, SEC regulations, and securities laws applicable to market regulation and trading activities
- Strong understanding of Regulatory Services Agreements and exchange regulatory frameworks
- Exceptional analytical skills with ability to assess regulatory impact across multiple operational dimensions
- Strategic thinking and ability to synthesize complex information from diverse sources
- Superior written and verbal communication skills, including ability to communicate technical concepts to non-technical audiences
- Proven ability to influence and build consensus across organizational boundaries
- Demonstration of FINRA's values. Collaboration, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity.
- Valid written agreement and task order (for search firm representatives)
Desired Qualifications
- Advanced degree (JD, MBA, or relevant master's degree)
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