Vice President, Trading and Product Risk Intelligence
Job in
California, Moniteau County, Missouri, 65018, USA
Listed on 2026-09-16
Listing for:
Jobtailor
Full Time
position Listed on 2026-09-16
Job specializations:
-
Management
Regulatory Compliance Specialist, Data Science Manager
Job Description & How to Apply Below
- Serve as a key member of senior management and strategic advisor to business stakeholders
- Provide leadership and strategic direction on regulatory oversight, emerging risks, and intelligence-driven initiatives
- Drive strategic discussions, decisions, and cross-departmental initiatives
- Engage senior leadership on priorities, opportunities, and gaps and recommend improvements supporting investor protection and market integrity
- Identify systemic obstacles, develop tactical and strategic solutions, and optimize governance and controls
- Develop and maintain relationships with FINRA, the SEC, regulatory and law enforcement agencies, intelligence partners, exchanges, and market infrastructure providers
- Serve on committees and task forces and represent FINRA at conferences and public speaking events
- Lead intelligence operations to identify, analyze, and predict emerging risks, threats, regulatory trends, and critical events
- Oversee development and delivery of strategic intelligence products, assessments, briefings, and communications
- Develop and maintain intelligence frameworks, collection strategies, standards, and dissemination protocols
- Monitor financial services developments and collaborate with analytics experts across FINRA, regulators, and industry
- Directly supervise, develop, and mentor subject matter experts, intelligence specialists, and other staff
- Create annual plans, set priorities, organize resources, and manage staffing, training, technology, and budget needs
- Attract, develop, and retain talent and foster a high-performing culture
- Communicate complex intelligence assessments and technical data to internal and external audiences
- Partner across FINRA departments to promote collaboration, intelligence sharing, and success of intelligence and analytics initiatives
- Demonstrate FINRA’s values and collaborate in person and virtually in support of investor protection and market integrity
- Bachelor's degree, or equivalent, from an accredited college or university
- Minimum ten years' experience in intelligence collection, analysis, dissemination, and planning
- Deep expertise in developing and executing strategies related to the intelligence cycle and methodologies to identify threat and strategic intelligence that informs regulatory activities
- Extensive knowledge of intelligence structures, capabilities, processes, and policy development
- Strong knowledge of collection requirements and experience driving collection, identifying collection gaps, and developing intelligence products
- Substantial knowledge of the regulation and operation of U.S. broker-dealers
- Familiarity with financial regulation and oversight of market participants, financial markets, and products
- Proven experience developing software products and analytics to adapt technology innovation to business problems
- Proven record of acting independently in an unstructured environment to identify and address challenges, seize opportunities, develop initiatives, and strengthen programs
- Proven leadership skills across compliance, risk, intelligence, data analytics, and technology
- Strategic and critical thinking skills
- Strong written, verbal, and presentation skills
- Ability to communicate complex intelligence assessments, technical data, and strategic insights clearly
- Sound judgment, impeccable integrity, and ethical behavior
- Exceptional organizational skills and ability to manage multiple complex assignments under tight deadlines
- Ability to work in a hybrid environment with defined in-person presence requirements
- Ability to work extended hours and travel overnight as needed
- Law degree, advanced business degree, or other graduate degree preferred
- Previous experience at a broker-dealer or financial institution preferred
- Experience with financial products,…
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