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About the Role

Serves as a strategic regulatory advisor and subject matter expert on market structure, market regulation, and Regulatory Services Agreement (RSA) matters. This role provides critical leadership in analyzing regulatory developments, shaping organizational positions, and ensuring effective coordination across FINRA's Regulatory Operations and enterprise-wide stakeholder groups.

Responsibilities

• Monitors, analyzes, and interprets complex regulatory developments related to market structure and market regulation.
• Provides expert guidance to senior leadership on the operational, strategic, and policy implications of new and emerging regulatory requirements.
• Directs the preparation and distribution of comprehensive regulatory intelligence materials.
• Serves as a trusted advisor to the Vice President and Chief Regulatory Operations Officer (CROO) on enforcement matters.
• Partners with Regulatory Operations policy teams to ensure timely communication and appropriate codification of new regulatory requirements.
• Provides authoritative subject matter expertise to assess impact and guide implementation strategies across surveillance and market investigations functions.
• Reviews and advises on Regulatory Operations policies and procedures governing the application of FINRA rules and securities laws.
• Ensures alignment between regulatory developments, operational capabilities, and policy frameworks.
• Represents Regulatory Operations in high-level RSA meetings and organization-wide strategic initiatives.
• Collaborates with the Office of General Counsel (OGC) on rulemaking, regulatory policy development, and governance matters.
• Coordinates with Market Regulation Services (MRS) teams to monitor RSA contract changes and assess operational impact.
• Leads cross-departmental working groups and initiatives to develop unified FINRA positions on critical regulatory issues.
• Synthesizes complex, multi-dimensional input on key regulatory issues, translating technical matters into actionable strategic recommendations.
• Communicates policy positions and operational considerations effectively to internal stakeholders.
• Facilitates knowledge sharing and alignment across geographically dispersed and functionally diverse teams.

Requirements

• Deep knowledge of FINRA rules, SEC regulations, and securities laws applicable to market regulation and trading activities.
• Strong understanding of Regulatory Services Agreements and exchange regulatory frameworks.
• Exceptional analytical skills with ability to assess regulatory impact across multiple operational dimensions.
• Strategic thinking and ability to synthesize complex information from diverse sources.
• Superior written and verbal communication skills, including ability to communicate technical concepts to non-technical audiences.
• Proven ability to influence and build consensus across organizational boundaries.
• Demonstration of FINRA’s values.
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.
• 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.
• 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.
• Employees must disclose to FINRA all brokerage accounts that they maintain and authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts.
• Employees must comply with FINRA's Code of Conduct investment restrictions, including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver.

Skills

• Market structure
• Market regulation
• Regulatory Services Agreement (RSA)
• Regulatory intelligence
• Strategic advisory
• Policy development
• Cross-functional coordination
• Stakeholder management
• Rulemaking
• Regulatory policy development
• Governance
• Contract analysis
• Strategic synthesis
• Communication
• Analytical skills
• Strategic thinking

Location

• Los Angeles, CA
• San Francisco, CA
• Denver, CO
• Boston, MA
• Chicago, IL
• Rockville, MD
• Tysons, VA
• Washington, DC
• Jericho, NY
• Jersey City, NJ
• New York, NY
• Woodbridge, NJ

Work Type

• Hybrid

Experience Level

• 12+ years of progressive experience in securities regulation, market regulation, compliance, or related regulatory operations roles
• Senior Advisor

Education Level

• Bachelor's degree required
• Advanced degree (JD, MBA, or relevant master's degree) strongly preferred

Salary/Compensations

• Los Angeles, CA: Minimum Salary $202,000, Maximum Salary $303,000
• San Francisco, CA: Minimum Salary $211,000, Maximum Salary $316,000
• Boston, MA: $158,000.00 - $355,400.00
• Chicago, IL: $173,600.00 - $340,200.00
• Denver, CO: $158,000.00 - $308,900.00
• Jericho, NY: $158,000.00 - $370,700.00
• Jersey City, NJ: $189,600.00 - $370,700.00
• New York, NY: $189,600.00 - $370,700.00
• Rockville, MD: $181,500.00 - $355,400.00
• Tysons, VA: $181,500.00 - $355,400.00
• Washington, DC: $181,500.00 - $355,400.00
• Woodbridge, NJ: $173,600.00 - $370,700.00

Benefits

• Comprehensive health, dental and vision insurance
• Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment insurance
• Short- and long-term disability insurance
• Long-term care insurance
• Business travel accident, disability and legal insurance
• Immediate participation and vesting in a 401(k) plan with company match
• Eligibility for participation in an additional 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 (available after 90 days of employment)
• Childbirth and parental leave (available after 90 days of employment)
• Nine paid holidays

About the Company

• FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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.