Vice President, Enforcement Senior Advisor – Operations

FINRA

Senior Advisor for Enforcement at FINRA, leading strategic direction, operations, and innovation initiatives. Collaborating with senior management to advance regulatory mission and operational excellence.

Posted 7/1/2026full-timeNew York City • Colorado, Illinois, Massachusetts, New York, Texas • 🇺🇸 United StatesSenior💰 $192,800 - $379,700 per yearWebsite

About the role

Key responsibilities & impact

Serve as a strategic partner and thought leader to the EVP.
Exercise sound judgment and independent decision-making authority.
Lead strategic analysis and problem-solving on complex, precedent-setting matters.
Provide actionable recommendations and strategic options that enable executive decision-making.
Drive innovation in Enforcement operations; identify and shepherd implementation of special projects.
Provide expert advice and support on matters of strategic significance related to Enforcement.
Serve as a liaison and strategic partner across FINRA on Enforcement matters.
Establish and maintain critical relationships with internal and external stakeholders.
Lead or participate in enterprise-wide initiatives.
Develop and execute comprehensive communications strategies.

Requirements

What you’ll need

Bachelor's degree or equivalent required, preferably in business or communications field.
MBA, JD, or other advanced degree in business, law, finance, or related field strongly preferred.
Minimum of 12+ years of progressive experience in financial services regulation, enforcement, compliance, or related roles, with at least 3-5 years in a senior leadership, advisory, or management capacity.
Strong collaborator and team builder.
Excellent written and verbal communication, interpersonal, and presentation skills.
Exceptional organizational skills.
Deep knowledge of the regulation and operation of the U.S. broker-dealer industry.
Familiarity with the broader landscape of financial regulation and self-regulatory organizations.
Proven record of acting independently in an unstructured environment to identify and address challenges, seize opportunities, develop new initiatives, and strengthen existing programs.
Ability to operate with discretion and professionalism when handling sensitive and confidential matters.

Benefits

Comp & perks

Comprehensive health, dental and vision insurance
Basic life insurance
Accidental death and dismemberment insurance
Supplemental life insurance
Spouse/domestic partner and dependent life insurance
Short- and 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
Additional FINRA-funded retirement contribution
Tuition reimbursement
Commuter benefits
Adoption assistance
Backup family care
Surrogacy benefits
Employee assistance
Wellness programs
15 days of paid time off
5 personal days
9 sick days
Two volunteer service days
Paid military leave
Paid jury duty leave
Paid bereavement leave
Paid voting and election official leave
Paid care of a family member leave (after 90 days)
Paid childbirth and parental leave (after 90 days)
Nine paid holidays

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Applicant Tracking System Keywords

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Hard Skills & Tools

Regulatory ComplianceStrategic Decision-MakingProblem-SolvingProject ImplementationStakeholder Engagement

Soft Skills

CollaborationTeam BuildingInterpersonal SkillsOrganizational SkillsPresentation Skills

Certifications

MBAJD