Vice President, SMI Surveillance Operations

The Vice President, Surveillance Operations is responsible for leading and overseeing the operational and strategic aspects of the market surveillance activities performed by Market Regulation and Transparency Services’ (MRTS) Surveillance and Market Intelligence (SMI) teams.

This includes providing strategic direction and oversight of operational and compliance standards across SMI to promote and ensure a center of excellence for surveillance at FINRA.

The Vice President also provides expert knowledge in the implementation and execution of an effective quality assurance program designed to mitigate potential risks related to market surveillance activities and proactively address emerging trends or opportunities requiring the attention of MRTS senior management.

Essential Job Functions:


* Oversee and drive the strategic direction for operational standards and quality reviews for surveillance output across SMI teams, with a focus on standardizing a cohesive approach to surveillance activities and consolidating and streamlining output to support continuous improvement and innovation.


* Develop and enforce holistic surveillance standards and operations across disparate and diverse SMI teams.


* Advise and support the Executive Vice President, SMI and other SMI leaders with respect to operational and compliance standards for surveillance activities across SMI and the development of surveillance goals, objectives and key results.


* Oversee a team responsible for quality reviews of surveillance output across SMI teams, including developing key metrics to monitor surveillance program execution and effectiveness.


* Oversee the development and implementation of operational policies, procedures and standards for the SMI teams, with a focus on quality assurance and controls, timeliness and efficacy of surveillance activities, as well as consistency in the expansion of the surveillance portfolio.


* Advise on regulatory changes and developments in the industry and assess their impact on the surveillance program and advise on new or emerging market trends, risks and opportunities to enhance surveillance strategies and mitigate risks.


* Develop the strategy for and oversee deployment of new surveillances, decommissioning of redundant controls, and the evaluation of the performance of surveillance reviews to help measure the efficacy of the program, including developing and maintaining robust reporting systems to track surveillance activities and outcomes.


* Oversee the strategic planning and pursuing of potential new business opportunities such as onboarding new exchanges onto the surveillance program and building new surveillances based on new datasets or products or expanded scope of regulatory oversight.

 Partner with the MRTS Regulatory Services Management (RSM) team on strategic planning and the future development of contracted surveillance services.


* Lead and provide subject matter expertise on surveilla...