Senior Principal, MRTS Market Strategy & Research

The Senior Principal of Market Regulation & Transparency Services (“MRTS”) Market Strategy & Research provides analysis critical to proactive regulatory risk assessment and the development of regulatory strategy.

This role is essential to enabling MRTS to effectively develop regulatory strategy informed by market conditions and developments, as well as achieve the goals and priorities of the department.

Essential Job Functions:



* Work closely with the senior director, head of SRE and the senior management team to effectively conduct continuous qualitative research into market conditions and developments.


* Develop and deliver highly specialized reports on a regular basis concerning critical regulatory issues and trends for the senior management team and MRTS business lines.


* 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 leaders throughout the organization and with external FINRA constituents including the SEC, other regulators, and market participants as needed.


* Develop MRTS environmental SWOT analysis and provide corresponding support to strategic goal development.


* Respond to rule change management issues, including through rules impact analysis for key stakeholders in Regulatory Programs and within 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.


* Attend 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.


* Participate in MRTS’s engagement with Enterprise Risk Management, providing input on enterprise risk assessments concerning MRTS.

Education & Experience Requirements:



* Bachelor's Degree and a minimum of eight (8) 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 MRTS strategic goals and operations.


* Advanced knowledge of rule changes and interpretations and how they relate to MRTS operations.


* 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.


* Knowledge of, and expe...