Senior Director, Market Strategy – Research

FINRA

Senior Director leading proactive regulatory risk assessment and development of regulatory strategies for FINRA. Collaboratively managing department initiatives and maintaining relationships with senior leaders and regulators.

Posted 7/16/2026full-timeNew York City • California, Colorado, Florida, Illinois, Maryland, Massachusetts, New York, Pennsylvania, Texas, Virginia, Washington • 🇺🇸 United StatesSenior💰 $181,500 - $370,700 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates extensive experience in regulatory risk assessment and strategy development within the financial sector, with a strong focus on compliance and securities regulation. Proven ability to lead teams, manage complex projects, and deliver executive-level reporting and presentations.

Highest-signal resume keywords

Regulatory Risk AssessmentSecurities RegulationExecutive Level ReportingProject ManagementTeam Building

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Applicant Tracking System Keywords

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Hard Skills

Regulatory Strategy DevelopmentData AnalyticsMarket SurveillanceRule Changes KnowledgeFinancial Regulation ComplianceSWOT AnalysisInternal AuditsMarket Structure IssuesProcess ImprovementMetrics Analysis

Soft Skills

Excellent CommunicationInterpersonal SkillsOrganizational SkillsCollaborationLeadership

Certifications & Qualifications

MBAJDRelevant Industry Certifications

Industry Keywords

FINRABroker-DealersSecuritiesComplianceFinancial RegulationMarket ConditionsRegulatory OpsSEC OversightExecutive PresentationsRisk-Based Decisions

About the role

Key responsibilities & impact

Provides critical leadership in proactive regulatory risk assessment and the development of regulatory strategy.
Enables Surveillance to effectively develop regulatory strategy informed by market conditions and developments.
Achieves the goals and priorities of the department.
Conducts continuous qualitative research into market conditions and developments.
Manages an analyst to deliver specialized reports on regulatory issues and trends.
Assesses issues impacting the department and determines the proper course of action.
Identifies urgent issues for attention of senior leadership and presents organized, succinct updates.
Develops and maintains relationships with senior leaders and external FINRA constituents as needed.
Oversees Surveillance environmental SWOT analysis and supports strategic goal development.
Evaluates business unit structures/processes to identify barriers to effectiveness.
Drives decisions on new program creation or improvements to existing ones.
Collaborates with senior management on SEC oversight inspections and internal audits.
Develops presentations and reports for the board and Management Committee.
Represents senior leadership at meetings and events as necessary.
Coordinates with various FINRA departments for a holistic organizational response to critical issues and trends.

Requirements

What you’ll need

Bachelor's Degree required
minimum of ten (10) years of experience in securities, compliance or financial regulation
MBA, JD, other graduate degree and/or relevant industry certification(s) preferred
Functional knowledge of FINRA's risk hierarchy and Regulatory Ops strategic goals
Advanced knowledge of rule changes and interpretations
Advanced knowledge of industry-wide events and trends
Proven record of creating and providing executive level reporting using metrics, analysis, and data analytics.
Experience making internal and external presentations as a subject matter expert.
Substantial knowledge of and experience with the regulation and operation of U.S. broker-dealers
Familiarity with the broader landscape of financial regulation.
Experience with securities market structure issues, associated data, regulations and/or market surveillance business processes is strongly preferred.
Proven record of acting independently in an unstructured environment to identify and address challenges, make risk-based decisions, develop new initiatives, and strengthen existing programs.
Strong collaborator and team builder, with excellent written and verbal communication, interpersonal, and presentation skills.
Exceptional organizational skills, with attention to detail and an ability to administer multiple complex assignments concurrently and execute against tight deadlines.
Excellent leadership skills, including the ability to interact effectively and positively with people from a variety of backgrounds to reach timely, informed decisions.
Proven record of project management, process improvement and goal attainment skills, as well as producing high quality written work products.

Benefits

Comp & perks

comprehensive health, dental and vision insurance
basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life
spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal.
401(k) plan with company match
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
military leave
jury duty leave
bereavement leave
voting and election official leave for federal, state or local primary and general elections
childbirth and parental leave for full-time employees