Vice President, Regulatory Liaison - All FINRA Locations

Responsible for leading and strengthening the Office of Regulatory Liaison (ORL) within Member Supervision. As a key member of the Member Supervision leadership team, the Vice President, ORL will partner closely with FINRA’s Office of Liaison and Counsel (OLC) and its Government Relations Group and serve as the primary liaison and representative for Member Supervision executive leadership in developing and maintaining strong working relationships with external regulators including the SEC and other Federal and State Regulators. The VP will manage, on behalf of Member Supervision, and in conjunction with executive leadership from other FINRA departments, timely and strategic responses to SEC oversight inspections, examinations, and related meetings. This role serves as a strategic advisor to the Member Supervision EVP and other Senior Leadership in proactively identifying regulatory trends and patterns that may be derived from interactions and communications with external regulators that may indicate areas of emerging risk to investors and the market.

Essential Job Functions:

Build strong and trusting relationships with other regulators.

• Take a strategic approach to leading and proactively developing and managing interactions with the SEC and States, partnering closely with OLC and Government Relations, to build and maintain strong working relationships.
• Interact confidently, effectively, and autonomously with executive level leaders from FSIO and other areas of the SEC, the Chief / Secretary for each state’s securities division, or from other regulators, representing Member Supervision EVP and department senior leaders.
• Engage directly with regulators to solicit feedback relating to ongoing engagements and overall relationship and incorporate going forward to further enhance interactions.
• Advise Member Supervision’s EVP on organizational structure, roles and staffing of ORL needed to manage the relationships and interactions effectively and efficiently, on an evolving basis.

Provide strategic advice to Member Supervision executive leadership regarding regulatory trends and patterns that may indicate areas of emerging risk to investors and the market that may be derived from interactions and communications with external/co-regulators.  

• Produce strategic, high-quality responses to regulatory requests and prepare executive leadership for oversight meetings.

Lead Member Supervision in responding to numerous, complex, and concurrent inquiries, requests, and reporting requirements from external regulators.

• Manage responses to requests for information to ensure our response is timely and well thought through to mitigate risk. This may include considering the purpose of the request, similar prior requests, and potential for follow up requests.
• Hold prep sessions in advance of responding to FSIO’s exam related questions that will result in consistent and confident Member Supervision responses and serve to provide Member Supervision staff with insight and education into the FSIO requests.
• Using the collective view of all ongoing requests and regulator interactions, recommend to Member Supervision senior leadership enhancements to programs or additional testing it should undertake to minimize risk to FINRA in FSIO oversight reviews.

Partner with FINRA’s Office of Liaison and Counsel (OLC), program heads across Member Supervision, and senior leadership from other FINRA departments to:

• Manage all aspects of regularly scheduled and ad hoc meetings with the SEC and states to ensure they achieve agreed upon objectives. This includes, determining appropriate meeting participants, preparing attendees on how to tailor the discussion to the audience, providing relevant information in advance of the meetings, preparing high quality and informative decks to be produced, and debriefing to refine approach to future meetings.
• Lead the strategic and efficient management of SEC FSIO oversight exams and quarterly FSIO meetings with Member Supervision. Create a consistent and efficient approach from the outset, through the response to final exam reports, attend oversight meetings as needed, and track and implement commitments.
• Work with the Data & Analytics team to develop informative metrics responsive to regulatory requests and that strategically convey Member Supervision’s work.
• Manage and obtain the necessary regulatory intelligence from exam and risk monitoring staff, and prepare meeting participants for annual meetings with state regulators.

Oversee development of metrics and reports for Member Supervision senior leadership that most effectively reflect:

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