Director, Market Strategy & Research

## Director, Market Strategy & Research Apply:
New York, NY (Job Posting):
Jericho, NY (Job Posting):
Denver, CO (Job Posting):
Chicago, IL (Job Posting):
Boston, MA (Job Posting):
Full time:
Posted 2 Days Ago:
R-010244

The Director, Market Strategy & Research provides leadership in proactive regulatory risk assessment and the development of regulatory strategy. This role is essential to enabling Surveillance to effectively develop regulatory strategy informed by market conditions and developments, as well as achieving the goals and priorities of the department.
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* Essential Job Functions:

*** Work closely with the Surveillance Operations leadership to effectively conduct continuous qualitative research into market conditions and developments.
* Manage an analyst to develop and deliver highly specialized reports on a regular basis concerning critical regulatory issues and trends for the senior management team and Regulatory Ops business lines.
* 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 senior leadership and present such issues 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, other regulators, and market participants as needed.
* Develop and manage Surveillance environmental SWOT analysis and provide corresponding support to strategic goal development.
* Identify, develop, and respond to rule change management issues to include rules impact analysis; for key stakeholders in Regulatory Programs and within the Surveillance department.
* Work with the senior management team on SEC oversight inspections and FINRA internal audits.
* Develop presentations and reports as needed, including for the board and Management Committee.
* Represent senior leadership at meetings and events with internal and external stakeholders when necessary.
* Work with counterparts across the organization to help prepare for and respond to significant market events.
* Work with other FINRA departments including Investor Education and Corporate Communications to formulate FINRA’s response to issues and trends that pose a risk of ongoing investor harm.
* Be involved in Surveillance’s engagement with Enterprise Risk Management, providing input on enterprise risk assessments concerning Regulatory Ops.
* Demonstration of FINRA’s values.
* Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.
** Education/Experience Requirements:
*** Bachelor's Degree and a minimum of ten (10) years of experience in securities, compliance or financial regulation required, or an equivalent combination of education and experience.
* MBA, JD, other graduate degree and/or relevant industry certification(s) preferred.
* Functional knowledge of FINRA's risk hierarchy and how it relates to Regulatory Ops strategic goals and operations.
* Advanced knowledge of rule changes and interpretations and how they relate to regulatory operations.
* FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent is required within 16 months of start date of the assigned SIE cohort. This requirement ensures employees have foundational knowledge of the securities industry and regulatory matters essential to FINRA's mission.
* Advanced knowledge of industry wide events and trends.
* 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…