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Organization TypePublic Interest
Years of Experience
Date Last Verified
ProfileSenior Advisor and Counsel, Market Regulation-Quality of Markets Duties: To assist the Executive Vice President, Market Regulation-Quality of Markets, in the coordination and oversight of intra-departmental and inter-departmental initiatives, advise on regulatory policy formulation and represent the Department at meetings with internal and external constituents. Will also apply expert analytical skills and provide advice on the development and implementation of departmental strategy. Responsible for written and oral communication with staff, member firms and regulatory clients. Supports the EVP, QOM in the administration of the QOM Department. Works closely with the EVP and the EVP’s direct reports in developing, coordinating, and implementing individual and cross-QOM group initiatives. Interacts with other non-QOM groups in the Department and other FINRA Departments on the EVP’s and QOM’s behalf. Coordinates and oversees cross-department projects (including new business initiatives), issues and policy formulation. Also advises on the formulation and development of regulatory proposals and policy. Reviews and evaluates new business initiatives from a strategic, legal and business perspective. Evaluates the impact of FINRA, client and SEC rule changes on Market Regulation and where appropriate, recommends responses, consistent with Market Regulation strategies and legal and regulatory requirements. Prepares periodic reports to clients on the Department’s programs. Prepares high-level briefings/presentations for executives and others as needed. Assists in the development of more efficient processes across the Department, including developing and maintaining Department-wide procedures. Acts as liaison to other FINRA departments and offices, including the Code of Conduct Group. May serve as senior advisor to department committees (i.e., Workflow, Innovation, etc.). Interface with exchange clients on projects and other regulatory matters as necessary.
Qualification and Experience
Qualifications: Undergraduate Degree; Law degree preferred. 7-10 years of regulatory experience. Expert oral/written communication skills. Expert knowledge of federal securities laws, rules and regulations relevant to Market Regulation’s regulatory activities. Excellent interpersonal skills.
Job Number: 006211