Vice President, Trading and Product Risk Intelligence

The Vice President, Trading and Product Risk Intelligence, will be a key member of the Intelligence leadership team, reporting directly into the Senior Vice President of Strategic Intelligence. This highly strategic leader will lead and oversee a team of product and market intelligence subject matter experts responsible for identifying, analyzing, and predicting regulatory trends and their potential impact on member firms, their customers, and the financial markets.

The VP will be responsible for developing finished intelligence products on emerging product-specific risks and critical market events through proactive and predictive analytics, serving as a bridge between deep technical expertise and strategic intelligence dissemination. The team will work closely with Regulatory Operations Analytics to identify and evaluate product-level and market-wide risks to investors and markets.

This role requires deep technical expertise in intelligence disciplines, market operations, regulatory frameworks, and complex financial products, combined with a strong ability to build and maintain effective relationships both internally and externally with industry participants such as FINRA member firms, other regulators, law enforcement, intelligence partners, exchanges, and market infrastructure providers.

Strategic Planning, Leadership, and Stakeholder Engagement

• Serve as a key member of senior management and strategic advisor to business stakeholders, partnering across departments to provide critical leadership and strategic direction on regulatory oversight, emerging risks, and intelligence-driven initiatives.
• Drive strategic discussions, decisions, and cross-departmental initiatives; engage senior leadership on priorities, opportunities, and gaps; and make recommendations for improvements in support of investor protection and market integrity.
• Demonstrate an "owner-mentality" with expert judgment to identify systemic obstacles, develop tactical and strategic solutions, and optimize the balance of business efficacy with right-sized governance and controls.
• Develop and maintain strong working relationships with leaders across FINRA, the SEC, and other regulatory and law enforcement agencies; serve on committees and task forces; and represent FINRA at conferences and public speaking events.

Intelligence Operations, Analysis, and Product Delivery

• Lead intelligence team operations to identify, analyze, and predict emerging risks, threats, regulatory trends, and critical events impacting member firms, investors, and the financial markets.
• Oversee the development and delivery of strategic intelligence products, assessments, briefings, and communications that translate complex intelligence into actionable insights for senior leadership, regulatory staff, and external stakeholders.
• Develop and maintain intelligence frameworks, collection strategies, standards, and dissemination protocols to ensure timely delivery of actionable intelligence to appropriate stakeholders across the enterprise.
• Stay abreast of developments in the financial services sector and liaise with analytics experts across FINRA, other regulators, and the broader industry to be at the forefront of emerging risks, analytical concepts, and innovative approaches.

People Leadership and Organizational Development

• Directly supervise, develop, and mentor talent with overall leadership responsibility for a team of subject matter experts, intelligence specialists, and other staff.
• Create annual plans, determine priorities, organize resources, and proactively manage team staffing, training, technology, and budget needs to achieve objectives and key results.
• Attract, develop, and retain top talent; foster a positive and innovative workplace; and create a high-performing culture of employee engagement and development consistent with FINRA culture and values.

Communication and Collaboration

• Communicate complex intelligence assessments and technical data clearly to audiences with varying degrees of subject matter expertise within FINRA and externally.

• Partner with leaders across FINRA departments to promote effective collaboration, intelligence sharing, and drive overall success of intelligence and analytics initiatives.

Additional Responsibilities

• 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, or equivalent, from an accredited college or university. Law degree, advanced business degree, or other graduate degree preferred.
• Minimum ten years' experience in intelligence collection, analysis, dissemination, and planning.
• Deep expertise in developing and executing strategies related to the intelligence cycle and methodologies to identify threat and strategic intelligence that informs regulatory activities.
• Extensive knowledge of intelligence structures, capabilities, processes, and policy development.
• Strong knowledge of collection requirements and proven experience driving collection, identifying collection gaps, and developing intelligence products that inform strategic decision-making.
• Substantial knowledge of the regulation and operation of U.S. broker-dealers, as well as familiarity with the broader landscape of financial regulation and oversight of a wide range of market participants, financial markets, and products. Previous experience working at a broker-dealer or financial institution preferred.
• Experience with financial products, market operations, intelligence methodologies, or related specialized areas relevant to the specific role preferred.
• Demonstrated track record in adapting technology innovation to business problems through the development of software products and analytics.
• Proven record of acting independently in an unstructured environment to identify and address challenges, seize opportunities, develop new initiatives, and strengthen existing programs.

Skill Requirements:

• Proven leadership skills with the ability to lead through influence and consensus-building; attract, develop, and retain talent across disciplines including compliance, risk, intelligence, data analytics, and technology.
• Strategic thinking and critical thinking skills with the ability to anticipate future risks, identify priorities, and position the organization to address mission-related opportunities proactively.
• Strong written, verbal, and presentation skills with proven ability to communicate complex intelligence assessments, technical data, and strategic insights clearly to audiences with varying degrees of subject matter expertise.
• Demonstrated sound judgment, impeccable integrity, and ethical behavior with a strong commitment to transparency; ability to navigate divergent opinions and make data-informed, intelligence-driven decisions in a timely manner.
• Exceptional organizational skills with the ability to manage multiple complex assignments concurrently, execute against tight deadlines, and coordinate effectively across stakeholders and decision-makers.

Work Conditions:

• Hybrid work environment, with defined in-person presence requirements.
• Extended hours and overnight travel as needed.

For work that is performed in Los Angeles and San Francisco, CA, CO, CT, IL, PA, MA, MD, VA, WA, DC, NY, NJ, WA 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: $300,000.00 - $350,000.00

San Francisco, CA: $300,000.00 - $350,000.00

Boston, MA: $192,800.00 - $ 379,700.00

Chicago, IL: $192,800.00 - $ 379,700.00

Denver, CO: $ 192,800.00 - $ 379,700.00

Jericho, NY: $192,800.00 - $ 379,700.00

Jersey City, NJ: $192,800.00 - $ 379,700.00

Philadelphia, PA: $192,800.00 - $ 379,700.00

New York, NY: $192,800.00 - $ 379,700.00

Rockville, MD: $192,800.00 - $ 379,700.00

Tysons, VA: $192,800.00 - $ 379,700.00

Washington, DC: $192,800.00 - $ 379,700.00

Woodbridge, NJ: $192,800.00 - $ 379,700.00

Connecticut State: $ 192,800.00 - $ 379,700.00

Washington State: $192,800.00 - $ 379,700.00

#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.

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 starting at 15 days of paid time off (increasing with years of service, up to 25 days), 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.

Washington state applicants: click here for required notice(s).

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 EmployeeRelations@FINRA.org. 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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