Vice President, Strategic Operations - Any FINRA Locations
Company: Financial Industry Regulatory Authority
Posted on: September 23, 2022
Reporting to the Senior Vice President and Chief of Staff, the
Vice President, Strategic Operations, is responsible for centrally
overseeing a wide variety of strategic operational and advisory
functions and activities for Market Regulation and Transparency
Services (MRTS), and leading the execution of centralized support
across MRTS regulatory programs. This role also will support MRTS
in its partnership and collaboration across Regulatory Operations
in furtherance of core corporate and departmental goals. This role
is essential to MRTS executive and senior leadership to effectively
execute against the mission, goals and strategic and operational
priorities of the department and FINRA.
Essential Job Functions:
- Provide leadership and manage team of MRTS senior staff,
centralized within the Office of the Chief of Staff, each providing
dedicated strategic operational and advisory support to groups
within MRTS (specifically Quality of Markets, Options Regulation
and Trading & Execution examinations). Ultimate responsibility for
coordinating and managing this team's work, which includes, among
other things (1) leading intra-departmental and inter-departmental
initiatives, (2) coordinating and facilitating RSA customer and SEC
relationships, (3) providing support in connection with key
metrics, status reports, Board reporting, special projects,
department procedures and RSA change requests, (4) developing and
implementing the team's strategy, (5) developing more efficient
processes and procedures, (6) partnering with Enforcement on
complex/high-profile investigations, and (7) representing MRTS
senior leadership at meetings with internal and external
- Establish processes, standards and key metrics for centralized
strategic operational and advisory support team. Identify
opportunities for streamlining and improving operations and lead
efforts to implement change, as needed. Create and maintain
reports, project plans and metrics to support and inform executive
and senior leadership oversight of MRTS.
- Serve as the MRTS primary authority and liaison on projects and
initiatives related to Regulatory Operations goals and objectives.
On behalf of MRTS and MRTS senior leadership, lead and participate
in cross-functional working groups to achieve Regulatory Operations
integration, and enhance regulatory frameworks across Regulatory
Operations by facilitating agreements and partnerships across
- Act on behalf of MRTS executive and senior leadership in
variety of settings within MRTS, in collaboration with senior
leaders in the Office of the CEO, Enforcement, Member Supervision,
Technology, and FINRA-wide, and in external settings.
- Serve as a key member of the MRTS senior management team.
Develop and maintain effective relationships with senior leaders
throughout the organization. Routinely bring together multiple
senior-level stakeholders with divergent perspectives and drive
decisions, resolve conflicts, influence outcomes and enable leader
- Understand, triage and address a wide range of complex, and
often novel matters. Adapt quickly to changing circumstances and
respond to crises. Contribute expert knowledge to background
analysis and recommendations for executive and senior leadership's
- Manage multiple complex, cross-functional projects, in the
advancement of the strategic direction of MRTS in support of
FINRA's organizational goals and carrying a high level of
departmental risk. Work closely with MRTS executive and senior
leadership to oversee the effective, efficient and timely
implementation of MRTS core functions, including surveillance,
matter review and disposition, examinations, and all related
Education & Experience Requirements:
- Bachelor's degree or equivalent, preferably with a major in a
business or communications field. MBA, JD, or other graduate degree
- Minimum of ten years' experience in the financial services
industry, at FINRA, or another financial services regulator, in
positions of increasing responsibilities.
- Strong collaborator and team builder, with excellent written
and verbal communication, interpersonal, and presentation
- Exceptional organizational skills, with an ability to
administer multiple complex assignments concurrently and execute
against tight deadlines in multiple areas with different
- Deep understanding of the MRTS department and its regulatory
programs and operations.
- Expert knowledge of, and experience with, the regulation and
operation of the U.S. markets, FINRA and SEC rules, broker-dealer
industry, as well as familiarity with the broader landscape of
- Expert knowledge of, and experience with, the regulation and
operation of self-regulatory organizations, including Regulatory
Services Agreements, 17d-2, and applicable regulatory reporting
requirements and legal constraints.
- Proven record of acting independently in an unstructured
environment to identify and address challenges, seize
opportunities, develop new initiatives, and strengthen existing
- Proven record of project management, process improvement and
goal attainment skills, as well as producing high quality written
- Excellent leadership skills, including the ability to organize
and deal effectively with people from a variety of backgrounds in
order to reach timely, informed decisions.
- Work is normally performed in an office environment.
- Occasional travel is required.
- Extended hours are required.
To be considered for this position, please submit an
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
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