Strategic Advisor, Market and Regulatory Services

The Strategic Advisor in Market and Regulatory Services (MRS) is a senior strategic partner reporting to the Chief of Staff, providing critical leadership and strategic support to the Chief of Staff and MRS senior leadership team across all MRS lines of business. This role enables MRS to effectively develop and execute strategy, engage with key enterprise partners and regulatory agencies, and achieve departmental goals and priorities. The Strategic Advisor works independently as a partner to the MRS senior leadership team.

Essential Job Functions:

• Act as strategic thought partner embedded within an assigned MRS line of business, providing counsel on business initiatives, strategic planning, risk management, policy and processes and ensuring alignment with MRS strategic goals.
• Assess and provide proposed solutions for complex, high-risk operational, regulatory, and policy issues requiring senior leadership attention; serve as senior intermediary protecting leadership bandwidth while ensuring critical matters receive appropriate escalation and resolution.
• 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, define strategic scope, establish success metrics, and drive execution of organizational priorities.
• Develop executive-level reporting (including board and external stakeholder reporting), project and business plans and strategic analysis using data analytics and business intelligence to inform decision-making.
• Conduct strategic organizational assessments to identify barriers to operational excellence and drive effectiveness through workforce optimization; provide strategic recommendations to embedded business line leaders and MRS senior leadership team.
• 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, escalating issues requiring executive decision-making.
• Oversee development and maintenance of departmental procedures in collaboration with business line leaders to ensure operational efficiency.
• 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 to support investment and strategic decision-making.
• Direct MRS regulatory compliance strategy; assess regulatory change impact, prepare executive analysis, develop policy recommendations, and coordinate cross-departmental responses; serve as primary liaison on regulatory strategy matters.
• Demonstrate FINRA’s values.
• Collaborate, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

 Education/Experience Requirements:

• Bachelor’s Degree and a minimum of ten (10) years of experience in securities, compliance or financial regulation required; or an equivalent combination of education and directly related experience.

• 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, particularly as applied to Market and Regulatory Services.

• 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 while achieving organizational goals.

• Exceptional ability to manage multiple complex assignments simultaneously with strong attention to detail and execution against tight deadlines.

Working Conditions:

• Hybrid work environment, with defined in-person presence requirements.

• Work environment includes high productivity expectations and tight deadlines.

• Extended hours and occasional travel may be required.

For work that is performed in CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and market considerations. 

 

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

#LI-DNI

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.

Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.

Time Off and Paid Leave*

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

*Based on full-time schedule

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

You can read more about these restrictions here.

As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity Employer

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 [email protected]. Please note that this process is exclusively for inquiries regarding accommodations in the application process.

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.

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