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About the Role

The Strategic Advisor in Market and Regulatory Services (MRS) provides critical leadership and strategic support to the Chief of Staff and MRS senior leadership team, enabling effective strategy development, execution, and engagement with key partners and regulatory agencies.

Responsibilities

• Act as a strategic thought partner within an assigned MRS line of business, providing counsel on business initiatives, strategic planning, risk management, policy, and processes.
• Assess and propose solutions for complex, high-risk operational, regulatory, and policy issues requiring senior leadership attention.
• Build strategic relationships with senior leaders across FINRA and external stakeholders (SEC, state regulators, exchanges, SROs).
• Lead responses to oversight inspections, audits, and stakeholder requests.
• Lead enterprise-critical special projects and cross-functional initiatives, defining strategic scope, establishing success metrics, and driving execution.
• Develop executive-level reporting, project and business plans, and strategic analysis using data analytics and business intelligence.
• Conduct strategic organizational assessments to identify barriers to operational excellence and drive effectiveness through workforce optimization.
• Partner with MRS leadership on strategic planning and portfolio governance frameworks.
• Establish annual goals and oversee department project portfolio management.
• Provide centralized program oversight and risk visibility to senior leadership.
• Oversee development and maintenance of departmental procedures in collaboration with business line leaders.
• Lead business case development and review processes in conjunction with business and technology partners.
• Draft business cases, coordinate stakeholder feedback, synthesize analysis, and document approvals.
• Direct MRS regulatory compliance strategy, assessing regulatory change impact and developing policy recommendations.
• Serve as primary liaison on regulatory strategy matters.
• Demonstrate FINRA’s values and collaborate in furtherance of FINRA’s mission of investor protection and market integrity.

Requirements

• Bachelor’s Degree and a minimum of ten (10) years of experience in securities, compliance or financial regulation required.
• MBA, JD, other graduate degree and/or relevant industry certification(s) preferred.
• Advanced knowledge of FINRA, MSRB, and other SRO rules, the Securities Exchange Act of 1934 and related regulations.
• Deep understanding of industry-wide events, trends, and emerging developments.
• Proven ability to create executive-level reports and presentations using metrics and data analytics.
• Experience presenting as a subject matter expert to internal and external audiences.
• Demonstrated success working independently in unstructured environments to identify challenges, make risk-based decisions, develop new initiatives, and enhance existing programs.
• Direct experience collaborating with senior stakeholders across multiple business functions, influencing leadership at all levels.
• Demonstrated success in managing complex projects, driving process improvements, and delivering high-quality written work products.
• Exceptional ability to manage multiple complex assignments simultaneously with strong attention to detail and execution against tight deadlines.
• Employees must comply with FINRA's Code of Conduct, including restrictions on investments and financial disclosures.
• Employees must disclose all brokerage accounts and authorize duplicate statements to FINRA.
• Employees must comply with investment restrictions and dispose of securities issued by companies on FINRA’s Prohibited Company List by the start date, or obtain a waiver.
• Employees must maintain securities accounts only at firms that provide an electronic feed (e-feed) to FINRA.
• Employees must execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification.
• Employees must comply with the company’s policy on nepotism.

Skills

• Strategic planning
• Risk management
• Policy development
• Process improvement
• Stakeholder engagement
• Regulatory compliance
• Project management
• Data analytics
• Business intelligence
• Executive reporting
• Business case development
• Organizational assessment
• Workforce optimization
• Portfolio governance
• Program oversight
• Communication

Location

• Washington, DC
• New York, NY

Work Type

• Hybrid

Experience Level

• Senior
• Ten (10) years of experience

Education Level

• Bachelor’s Degree

Salary/Compensations

• CO/FL/TX: Minimum Salary $158,000, Maximum Salary $308,900
• IL/PA: Minimum Salary $173,600, Maximum Salary $340,200
• MA/MD/VA/Washington, DC: Minimum Salary $181,500, Maximum Salary $355,400
• NY/NJ: Minimum Salary $181,500, Maximum Salary $370,700

Benefits

• Discretionary bonus
• Overtime pay
• Comprehensive health, dental and vision insurance
• Basic life insurance
• Accidental death and dismemberment insurance
• Supplemental life insurance
• Spouse/domestic partner and dependent life insurance
• Spouse/domestic partner and dependent accidental death and dismemberment insurance
• Short-term disability insurance
• Long-term disability insurance
• Long-term care insurance
• Business travel accident insurance
• Disability insurance
• Legal insurance
• Immediate participation and vesting in a 401(k) plan with company match
• FINRA-funded retirement contribution
• Tuition reimbursement
• Commuter benefits
• Adoption assistance
• Backup family care
• Surrogacy benefits
• Employee assistance programs
• Wellness programs
• 15 days of paid time off
• 5 personal days
• 9 sick days
• Two volunteer service days
• Military leave
• Jury duty leave
• Bereavement leave
• Voting and election official leave
• Care of a family member leave
• Childbirth and parental leave
• Nine paid holidays

About the Company

• FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States.
• FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC).
• FINRA's independent regulation plays a critical role in America’s financial system at no cost to taxpayers.
• FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms.
• FINRA uses technology powerful enough to look across markets and detect potential abuses.
• FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets.
• FINRA operates from Washington, DC, and New York, NY, with other offices around the country.
• Our Growth is Creating Great Opportunities!
• Our team is expanding, and we want to hire the most talented people we can.
• Continued success depends on it!

Equal Opportunity

• 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.
• FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s Employee Relations team at 240-386-4865 or by email at EmployeeRelations@FINRA.org.
• FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.
• FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.