Strategic Advisor, Member Supervision - All FINRA Locations

The Strategic Advisor in Member Supervision’s Strategic Intelligence & Analytics program (StratIntel) provides critical leadership and strategic support to the Senior Vice President in the performance of a full and diverse range of functions, including building relationships with key stakeholders to leverage regulatory intelligence and analytics to identify and address emerging risks, threats, and trends; collaborating with leaders across the organization to encourage intelligence sharing, and serving as a subject matter expert and thought leader in the StratIntel space. This role requires expertise and experience in identifying both threat and strategic intelligence to inform regulatory activities across FINRA. This role is essential to enabling the StratIntel leadership team to effectively develop and execute on strategy, drive outcomes on behalf of the Department, liaise with key partners and government agencies, as well as achieve the goals, objectives, and priorities of the department.

Essential Job Functions:

• Serve as a key member of the senior management team for the Department. Work closely with the SVP and the senior management team to effectively manage and support the strategic operations of the department, and act as a strategic thought partner and trusted advisor.
• Serve as point of contact and intermediary for operational, regulatory and policy issues that arise that would otherwise require the attention or involvement of the SVP. Assess issues that impact the Department and determine the proper course of action. Identify, assess, and analyze high risk and urgent issues requiring the attention of the SVP and present such issues and proposed solution(s) in an organized and succinct manner.
• Develop and maintain effective relationships with senior leaders throughout the organization and with external FINRA constituents including the SEC, criminal authorities, and state regulators as needed.
• Serve all levels of the senior management team in the areas of synthesizing internal and external stakeholder feedback and providing guidance and advice on a broad set of operational and regulatory initiatives including career development, diversity, inclusion, and leadership initiatives.
• Serve as point of contact and lead the efforts to respond to stakeholder needs across FINRA (e.g., ad hoc requests, Annual Report input, identifying SMEs with engaging and effective communication skills to be speakers at FINRA conferences, advisor committee(s), external engagements, aggregating feedback for proposed rules, etc.) for the Department.
• Evaluate business unit structures and processes and assess issues that serve as barriers to operational effectiveness and efficiency. Participate in department governance groups related to projects and high-risk areas, driving decisions and steering implementation involving projects and initiatives, creation of new programs and improvements, or streamlining of existing programs.
• Lead strategic goal setting and OKRs for the Department.
• Lead and partner with key business partners to develop Executive Reporting for MS leadership, to manage and track the success of the programs. Identify and build out supervisory tools and operational metrics to monitor the programs, as needed.
• Collaborate with key business partners to identify, develop, and respond to rule change management issue to include rules impact analysis; policy/procedure content creation/ coordination with Regulatory Programs and within department; identify/develop relevant control environment; and content approval.
• Collaborate with key business partners in the coordination for new and existing rules implementation, end-to-end process controls review, and related assessments.
• Work with the SVP and the senior management team to finalize cohesive responses and manage SEC oversight inspections, FINRA internal audits, and other internal reviews. Actively manage issues in determining appropriate action plan and tracking remediation/resolution within agreed upon timelines.
• Develop presentations, reports including board and Management Committee reporting, projects plans and metrics.
• Work closely with the SVP and the senior management team in managing staffing and budgets.
• Orchestrate and facilitate department events, including meeting agendas, logistics, and follow-up, involving the SVP and the senior management team and across the organization when necessary.
• Represent the SVP at meetings and events with internal and external stakeholders when necessary.
• Work with appointed Regulatory Liaisons across the department on a variety of non-oversight access request and regulatory oversight production issues when appropriate.
• Serve as a point of contact for Department issues with regards to Code of Conduct policy, conflict, and reporting inquiries.