Strategic Advisor, Member Supervision

Min 2 yrs required

Full-time

No

Strategic Advisor, Member Supervision
The candidate will provide critical leadership and strategic support to the Senior Vice President in the performance of a full and diverse range of functions. Enable the SVP to effectively develop and execute on strategy, engage in liaison with key partners and government agencies, as well as achieve the goals and priorities of the department. Responsible for all typical strategic advisor functions and oversees all MAP Triage functions. Also responsible for the following which frequently involves legal analysis: the RSA application review process and assessing and updating MAP's obligations and communications protocols under the RSA statements of work; collaborating with Member Supervision ORL and OGC and developing responses to oversight and regulatory requests; leading and participating in special projects impacting MAP processes, policies, or rules (. 15b9-1 Proposal, Dealer Proposal MAP Retrospective; determining the impact of new rules, rule amendments and interpretations on MAP policies and processes and developing an implementation strategy; collaborating with MAP senior leaders, Enforcement, and OGC, when necessary, to develop effective denial strategies for high-risk MAP applications; developing application withdrawal strategies and participating in withdrawal discussions with applicants' attorneys; and MAP's early firm meeting and outreach program. Leverage extensive regulatory and industry knowledge to assist Member Supervision to review complex issues and matters arising from the Membership Applications and Statutory Disqualification Programs. Serve as a key member of the senior management team for the Department. Work closely with the SVP and the senior management team to effectively manage and support the strategic operations of the department, and act as a strategic thought partner and trusted advisor. Serve as intermediary for operational, regulatory and policy issues that arise that would otherwise require the attention or involvement of the VP. Assess issues that impact the department and determine the proper course of action. Identify, assess, and analyze high risk and urgent issues requiring the attention of the VP and present such issues in an organized and succinct manner. Develop and maintain effective relationships with senior leaders throughout the organization and with external constituents including the SEC, criminal authorities, and state regulators as needed. Serve all levels of the senior management team in the areas of synthesizing internal and external stakeholder feedback, and providing guidance and advice on a broad set of operational and regulatory initiatives including career development, diversity, inclusion and leadership initiatives. Lead the efforts to respond to stakeholder needs (. Annual Report input, identifying SMEs, aggregating feedback for proposed rules, etc.) for the Department. Evaluate business unit structures and processes and assess issues that serve as barriers to operational effectiveness and efficiency. Drive decisions and steer implementation involving the creation of new programs and improvements or streamlining of existing programs. Develop presentations, reports including board and Management Committee reporting, projects plans and metrics. Work closely with the VP and the senior management team in managing staffing, budgets and space planning. Orchestrate and facilitate department events, including meeting agendas, logistics, and follow-up, involving the VP and the senior management team and across the organization when necessary. Represent the VP at meetings and events with internal and external stakeholders when necessary. Work with appointed Regulatory Liaisons across the department on a variety of non-oversight access request and regulatory oversight production issues when appropriate. Serve as a point of contact for Department issues with regards to Code of Conduct policy, conflict and reporting inquiries. Work with other departments including Investor Education and Corporate Communications to formulate the organization's response to issues and trends that pose a risk of ongoing investor harm.

Not specified

Comprehensive health, dental, and vision insurance, life and disability insurance, retirement contributions, tuition reimbursement, generous time-off program, volunteer service days, and more

Not specified

Leadership, Strategic Thinking, Communication, Relationship Building, Project Management, Data Analytics, Financial Analysis, Regulatory Compliance, Risk Assessment, Policy Development, Budget Management, Event Planning, Team Management

MBA, JD, or other relevant graduate degree; Bachelor's degree in Accounting, Finance, Economics, Business Administration or related field; relevant industry certifications

Job Requisition ID: R-007628

Qualification and Experience The candidate should have a Bachelor's degree or an equivalent combination of education and experience. A major in Accounting, Finance, Economics, Business Administration, or related fields is preferred. MBA, JD, other graduate degree and/or relevant industry certification(s) considered. Must have significant securities, compliance or financial regulatory experience. Functional knowledge of the organization's risk hierarchy and how it relates to the firm groups is needed. Should have advanced knowledge of: firm group business models, business lines, customer bases, products and services; rule changes and interpretations and how they relate to the firm groups; and industry-wide events and trends. Proven record of creating and providing executive level reporting using metrics, analysis, and data analytics is essential. Experience making internal and external presentations as a subject matter expert is a must. Substantial knowledge of, and experience with, the regulation and operation of US broker-dealers, as well as familiarity with the broader landscape of financial regulation is a prerequisite.

Legal