Senior Advisor: Market Regulation & Regulatory Service Agreement (RSA)

Senior Advisor: Market Regulation and Regulatory Service Agreement (RSA)

The Senior Advisor: Market Regulation and Regulatory Service Agreement (RSA), serves as a strategic regulatory advisor and subject matter expert on market structure, market regulation, and Regulatory Services Agreement (RSA) matters. This role provides critical leadership in analyzing regulatory developments, shaping organizational positions, and ensuring effective coordination across FINRA's Regulatory Operations and enterprise-wide stakeholder groups.

Essential Job Functions:

Regulatory Intelligence & Strategic Advisory

• Monitors, analyzes, and interprets complex regulatory developments related to market structure and market regulation from exchanges, FINRA, the SEC, and other regulatory bodies
• Provides expert guidance to senior leadership on the operational, strategic, and policy implications of new and emerging regulatory requirements
• Directs the preparation and distribution of comprehensive regulatory intelligence materials for diverse stakeholder audiences
• Serves as a trusted advisor to the Vice President and Chief Regulatory Operations Officer (CROO) on enforcement matters within the market regulation and RSA domains

Cross-Functional Policy Coordination & Implementation

• Partners with Regulatory Operations policy teams to ensure timely communication and appropriate codification of new regulatory requirements into operational policies and procedures
• Provides authoritative subject matter expertise to assess impact and guide implementation strategies across surveillance and market investigations functions
• Reviews and advises on Regulatory Operations policies and procedures governing the application of FINRA rules and securities laws in market regulation and RSA contexts
• Ensures alignment between regulatory developments, operational capabilities, and policy frameworks

Enterprise Representation & Stakeholder Management

• Represents Regulatory Operations in high-level RSA meetings and organization-wide strategic initiatives
• Collaborates with the Office of General Counsel (OGC) on rulemaking, regulatory policy development, and governance matters affecting market regulation and RSA functions
• Coordinates with Market Regulation Services (MRS) teams to monitor RSA contract changes and assess operational impact
• Leads cross-departmental working groups and initiatives to develop unified FINRA positions on critical regulatory issues

Strategic Synthesis & Communications

• Synthesizes complex, multi-dimensional input on key regulatory issues facing FINRA in the RSA and market regulation space, translating technical matters into actionable strategic recommendations
• Communicates policy positions and operational considerations effectively to internal stakeholders, including senior leadership and business line leaders
• Facilitates knowledge sharing and alignment across geographically dispersed and functionally diverse teams

Other Requirements

• Deep knowledge of FINRA rules, SEC regulations, and securities laws applicable to market regulation and trading activities
• Strong understanding of Regulatory Services Agreements and exchange regulatory frameworks
• Exceptional analytical skills with ability to assess regulatory impact across multiple operational dimensions
• Strategic thinking and ability to synthesize complex information from diverse sources
• Superior written and verbal communication skills, including ability to communicate technical concepts to non-technical audiences
• Proven ability to influence and build consensus across organizational boundaries
• Demonstration of FINRA's values.
• Collaboration, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity.

Education/Experience Requirements:

• Bachelor's degree required; advanced degree (JD, MBA, or relevant master's degree) strongly preferred
• 12+ years of progressive experience in securities regulation, market regulation, compliance, or related regulatory operations roles
• Demonstrated expertise in market structure, trading surveillance, market investigations, or exchange regulation
• Proven track record of policy development, regulatory interpretation, and cross-functional collaboration in complex financial services organizations
• Experience representing organizational interests in regulatory forums or industry working groups
• FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.

Work Conditions:

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

For work that is performed in Los Angeles and San Francisco, CA, 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.

Los Angeles, CA: Minimum Salary $202,000, Maximum Salary $303,000

San Francisco, CA: Minimum Salary $211,000, Maximum Salary $316,000

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-Hybrid

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.