Strategic Advisor, Member Supervision - All FINRA Locations

Strategic Advisor, Member Supervision - All FINRA LocationsStrategic Advisor, Member Supervision - All FINRA Locations Apply locations Washington, DC (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting)Time Type : Full timePosted on : Posted 2 Days AgoJob Requisition ID : R-008950The Strategic Advisor in Member Supervision’s Strategic Intelligence & Analytics program (StratIntel) provides critical leadership and strategic support to the Senior Vice President in the performance of a full and diverse range of functions, including building relationships with key stakeholders to leverage regulatory intelligence and analytics to identify and address emerging risks, threats, and trends; collaborating with leaders across the organization to encourage intelligence sharing, and serving as a subject matter expert and thought leader in the StratIntel space. This role requires expertise and experience in identifying both threat and strategic intelligence to inform regulatory activities across FINRA. This role is essential to enabling the StratIntel leadership team to effectively develop and execute on strategy, drive outcomes on behalf of the Department, liaise with key partners and government agencies, as well as achieve the goals, objectives, and priorities of the department.Essential Job Functions : Serve as a key member of the senior management team for the Department. Work closely with the SVP and the senior management team to effectively manage and support the strategic operations of the department, and act as a strategic thought partner and trusted advisor.Serve as point of contact and intermediary for operational, regulatory and policy issues that arise that would otherwise require the attention or involvement of the SVP. Assess issues that impact the Department and determine the proper course of action. Identify, assess, and analyze high risk and urgent issues requiring the attention of the SVP and present such issues and proposed solution(s) in an organized and succinct manner.Develop and maintain effective relationships with senior leaders throughout the organization and with external FINRA constituents including the SEC, criminal authorities, and state regulators as needed.Serve all levels of the senior management team in the areas of synthesizing internal and external stakeholder feedback and providing guidance and advice on a broad set of operational and regulatory initiatives including career development, diversity, inclusion, and leadership initiatives.Serve as point of contact and lead the efforts to respond to stakeholder needs across FINRA.Evaluate business unit structures and processes and assess issues that serve as barriers to operational effectiveness and efficiency. Participate in department governance groups related to projects and high-risk areas, driving decisions and steering implementation involving projects and initiatives.Lead strategic goal setting and OKRs for the Department.Lead and partner with key business partners to develop Executive Reporting for MS leadership, to manage and track the success of the programs.Collaborate with key business partners to identify, develop, and respond to rule change management issues.Work with the SVP and the senior management team to finalize cohesive responses and manage SEC oversight inspections, FINRA internal audits, and other internal reviews.Develop presentations, reports including board and Management Committee reporting, projects plans and metrics.Work closely with the SVP and the senior management team in managing staffing and budgets.Orchestrate and facilitate department events, including meeting agendas, logistics, and follow-up.Represent the SVP at meetings and events with internal and external stakeholders when necessary.Work with appointed Regulatory Liaisons across the department on a variety of non-oversight access request and regulatory oversight production issues when appropriate.Serve as a point of contact for Department issues with regards to Code of Conduct policy, conflict, and reporting inquiries.Work with other FINRA departments including Investor Education and Corporate Communications to formulate FINRA’s response to threats, issues and trends that pose a risk of ongoing investor harm.Education / Experience Requirements : MBA, JD, other graduate degree and / or relevant industry certification(s) considered.Bachelor's Degree or an equivalent combination of education and experience required. Major in Accounting, Finance, Economics, Business Administration, or related fields preferred.Proven record of acting independently in an unstructured environment to identify and address challenges.Significant securities, compliance, or financial regulatory experience.Functional knowledge of FINRA's risk hierarchy and how it relates to the firm groups.Advanced knowledge of firm group business models, business lines, customer bases, products, and services.Advanced knowledge of rule changes and interpretations and how they relate to the firm groups.Advanced knowledge of industry wide events and trends.Expert knowledge of FINRA departments and their mandates.Proven record of creating and providing executive level reporting using metrics, analysis, and data analytics.Experience making internal and external presentations as a subject matter expert.Substantial knowledge of, and experience with, the regulation and operation of U.S. broker-dealers.Strong collaborator and team builder, with excellent communication and presentation skills.Exceptional organizational skills, with an attention to detail and an ability to administer multiple complex assignments concurrently.Excellent leadership skills, including a proven track record of making data-informed decisions.Proven record of project management, process improvement and goal attainment skills.Working Conditions : Work is normally performed in a hybrid office environment.Extended hours and travel may be required.For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the salary range for the corresponding location.CA : Minimum Salary $171,900, Maximum Salary $351,200CO / HI / MN / VT : Minimum Salary $149,600, Maximum Salary $292,600IL : Minimum Salary $164,500, Maximum Salary $322,200Jersey City, NJ / NYC, NY : Minimum Salary $179,600, Maximum Salary $351,200MA / WA : Minimum Salary $149,600, Maximum Salary $336,600MD / Washington, DC : Minimum Salary $171,900, Maximum Salary $336,600NJ : Minimum Salary $164,500, Maximum $351,200NY : Minimum Salary $149,600, Maximum Salary $351,200

• Including positions performed outside the state but reporting to an office or manager in that state.Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.To be considered for this position, please submit an application.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.Please note : If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org / careers into your browser to reach our site directly.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 EmployeeRelations@finra.org.#J-18808-Ljbffr

Salary : $149,600 - $351,200