Senior Director, Surveillance and Market Intelligence

Senior Director of Testing and Risk Optimization

The Senior Director of the Testing and Risk Optimization team in Surveillance Optimization and Innovation is a key member of Regulatory Operations' leadership team and is responsible for overseeing the execution of the strategic direction of their section. This includes directing the section's responsibilities relating to the Surveillance team and the development and optimization of surveillance patterns to ensure a center of surveillance excellence (e.g., Idea Incubator, Reg Ops Coordination, Surveillance Governance, and Testing and Risk Optimization).

This role also communicates and innovates with peers across the organization to facilitate sharing of surveillance intelligence to improve our ability to meet FINRA's mission.

Essential Job Functions:

• Works closely with senior management to direct short term/long term strategic and operational plans.
• Monitors for program risks and develops solutions, including the coordination of quality control assessments.
• Responsible for directing their team's day to day operations, demonstrates advanced expertise of the work in their specific area and has an understanding of the work performed by the entire Surveillance group.
• Promotes a culture of continuous innovation and creativity within the Surveillance team, inspiring and empowering team members to generate ideas and solutions (e.g., Idea Incubator).
• Directs the testing and risk optimization of the section's surveillance tools, patterns and other departmental/Reg Ops reports, in conjunction with Surveillance teams.
• Coordinates the maintenance of the Surveillance function/Reg Ops policies and procedures.
• Coordinates with senior management and Surveillance teams on recommended surveillance enhancements, including an analysis of return on investment (e.g., replacing manual processes).
• Works in a proactive collaborative manner with internal/external constituents including interactions with exchanges, SEC, ISG and law enforcement personnel.
• Participates in internal and external discussions to advance regulatory programs impacting FINRA.
• Represents FINRA in internal/external meetings and speaking engagements.
• Demonstrates FINRA's values of Responsibility, Innovation, Collaboration and Expertise in interactions with colleagues, management, FINRA members, and outside parties.
• Responsible for monitoring initiatives to achieve the section's measures of success.
• Demonstration of FINRA's values.
• Collaboration, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity.

Other Responsibilities:

• Represents FINRA at speaking engagements with various internal and external constituencies
• Leads multi-level initiatives across Regulatory Operations
• Provides subject matter expertise in regulatory area to advance FINRA and industry initiatives (e.g., CAT, Notice to Members, rule filings, market events, congressional testimony preparation)
• Remains current on industry and technology trends, practices, and regulatory impacts

Education/Experience Requirements:

• Bachelor's degree and a minimum of ten (10) years of experience in the securities/financial services industry; or an equivalent combination of education and experience in positions of increasing responsibilities.
• Minimum five (5) years supervisory experience required.
• Demonstrated project management, process improvement, understanding of surveillance development lifecycle and goal attainment skills.
• Extensive working knowledge of FINRA, MSRB and other SRO rules and the Securities Exchange Act of 1934 and the rules and regulations thereunder.
• Working knowledge of data analytics and data analytic platforms (e.g., Power Bi and Dataiku)
• Demonstrated ability to lead regulatory program and produce outstanding measurable results.
• Requires excellent written and verbal communications skills, including interpersonal and presentation skills.
• Strong organizational skills and excellent detail orientation.
• FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.

Working…