Regulatory Principal, MAP

The Regulatory Principal, MAP Crypto role leads the regulatory oversight and strategy for member firm activities that involve crypto operations. The candidate must demonstrate an expert level of knowledge in crypto trading platforms, market infrastructure, custody, tokenization, smart contracts, and related regulatory frameworks.

• Lead or participate in highly complex applications and special projects, providing guidance and definitive determinations.
• Identify industry trends, products, and procedures; ensure regulatory programs support departmental goals and FINRA’s mission.
• Review staff work products, sign off on final decision letters, and conduct regular reviews of staff reports.
• Develop and deliver training courses and course content for MAP; serve as a subject‑matter expert for the Business Learning & Talent Team.
• Mentor junior staff and present subject‑matter material for FINRA internal programs and external industry events.
• Act as proxy for MAP management in meetings concerning firms and applications.

• Assist in developing and managing projects exceptional to the MAP.

• Bachelor’s degree in Accounting, Finance, Business Administration, Economics or related field; advanced degree or certifications a plus.
• Minimum eight (8) years of directly relevant experience in securities compliance and regulatory strategy.
• Expert knowledge of business conduct risk, securities industry rules and best practices; crypto‑asset expertise highly preferred.
• Strong analytical, oral and written communication, presentation, and time‑management skills.
• Demonstrated track record of developing regulatory responses to risk and proactive risk identification.

• Hybrid work environment with defined in‑person presence requirements; work may be performed at FINRA, member‑firm premises or conferences.
• Overnight travel and extended hours frequently required.
• Remote work possible, but some travel and on‑site presence are essential.

FINRA is an Equal Opportunity Employer. All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law.