Vice President, SMI Surveillance Operations

The Vice President, Surveillance Operations is responsible for leading and overseeing the operational and strategic aspects of the market surveillance activities performed by Market Regulation and Transparency Services’ (MRTS) Surveillance and Market Intelligence (SMI) teams. This includes providing strategic direction and oversight of operational and compliance standards across SMI to promote and ensure a center of excellence for surveillance at FINRA. The Vice President also provides expert knowledge in the implementation and execution of an effective quality assurance program designed to mitigate potential risks related to market surveillance activities and proactively address emerging trends or opportunities requiring the attention of MRTS senior management.Essential Job Functions : Oversee and drive the strategic direction for operational standards and quality reviews for surveillance output across SMI teams, with a focus on standardizing a cohesive approach to surveillance activities and consolidating and streamlining output to support continuous improvement and innovation.Develop and enforce holistic surveillance standards and operations across disparate and diverse SMI teams.Advise and support the Executive Vice President, SMI and other SMI leaders with respect to operational and compliance standards for surveillance activities across SMI and the development of surveillance goals, objectives and key results.Oversee a team responsible for quality reviews of surveillance output across SMI teams, including developing key metrics to monitor surveillance program execution and effectiveness.Oversee the development and implementation of operational policies, procedures and standards for the SMI teams, with a focus on quality assurance and controls, timeliness and efficacy of surveillance activities, as well as consistency in the expansion of the surveillance portfolio.Advise on regulatory changes and developments in the industry and assess their impact on the surveillance program and advise on new or emerging market trends, risks and opportunities to enhance surveillance strategies and mitigate risks.Develop the strategy for and oversee deployment of new surveillances, decommissioning of redundant controls, and the evaluation of the performance of surveillance reviews to help measure the efficacy of the program, including developing and maintaining robust reporting systems to track surveillance activities and outcomes.Oversee the strategic planning and pursuing of potential new business opportunities such as onboarding new exchanges onto the surveillance program and building new surveillances based on new datasets or products or expanded scope of regulatory oversight.  Partner with the MRTS Regulatory Services Management (RSM) team on strategic planning and the future development of contracted surveillance services.Lead and provide subject matter expertise on surveillance-related activities to other departments on projects or initiatives including cross-functional collaboration with Member Supervision and Enforcement.Represent MRTS at external regulatory and compliance events and speaking engagements on areas of subject matter expertise.Develop appropriate strategies and resourcing to put in place improvements to FINRA’s surveillance program based on feedback from internal stakeholders.Maintain strong and cooperative working relationships with key external stakeholders at the SEC, other regulatory and law enforcement agencies, exchanges, and industry participants.Recruit, retain and develop talent consistent with the needs of the business and FINRA’s values.  Support and enhance staff training that develops key skills to keep up with industry standards and best practices and promote a culture of learning and continuous professional development.Education / Experience Requirements : Bachelor’s degree in Accounting, Finance, Economics, Business Administration or related fields and a minimum of ten (10) years of experience in market surveillance or related regulatory functions gained within a financial institution, regulatory organization or professional services firm; or an equivalent combination of education and experience required.Advanced degree preferred.Leadership experience over large, multi-level, diverse, and geographically dispersed teams, with an emphasis on remote management experience.Experience with a variety of surveillance tools and vendors required.Expert knowledge of, and experience with, the regulation and operation of the U.S. markets, FINRA and SEC rules, broker-dealer industry, as well as familiarity with the broader landscape of financial regulation.Strong collaborator and team builder, with excellent written and verbal communication, interpersonal, negotiation, diplomacy and presentation skills.Excellent leadership and management skills, including with an ability to administer multiple complex assignments concurrently, including assignments that require autonomy and independent judgment.Exceptional at cultivating and managing relationships with leaders across the organization at varying levels of seniority to execute successfully on shared outcomes and strategies.Proven record of acting independently in an unstructured environment to identify and address challenges, seize opportunities, develop new initiatives, and strengthen existing programs.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. 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 internal peer compensation comparisons.CA : Minimum Salary $175,600, Maximum Salary $345,700CO / HI / MN / VT

• Minimum Salary $175,600, Maximum Salary $345,700IL
• Minimum Salary $175,600, Maximum Salary $345,700Jersey City, NJ / NYC, NY : Minimum Salary $175,600, Maximum Salary $345,700MA / WA : Minimum Salary $175,600, Maximum Salary $345,700MD / Washington, DC : Minimum Salary $175,600, Maximum Salary $345,700NJ : Minimum Salary $175,600, Maximum Salary $345,700NY : Minimum Salary $175,600, Maximum Salary $345,700
• 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.#LI-HybridTo 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.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. Please note that this process is exclusively for inquiries regarding application accommodations. 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 of 15 days of paid time off, 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 scheduleImportant InformationFINRA’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.Search Firm RepresentativesPlease be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.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 atEmployeeRelations@finra.org. Please note that this process is exclusively for inquiries regarding application accommodations.All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws.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.2025 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.SummaryLocation : New York, NY (Job Posting); Kansas City, MO (Job Posting); Jersey City, NJ (Job Posting); Denver, CO (Job Posting); Dallas, TX (Job Posting); Chicago, IL (Job Posting); Boston, MA (Job Posting); Boca Raton, FL (Job Posting); Woodbridge, NJ (Job Posting); Washington, DC (Job Posting); San Francisco, CA (Job Posting); Rockville, MD (Job Posting); Philadelphia, PA (Job Posting); Los Angeles, CA (Job Posting)Type : Full time

Salary : $175,600 - $345,700