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Company Name:
Approximate Salary:
Not Specified
Washington DC, District of Columbia
United States
Position type:
Full Time
Experience level:
6-9 Years
Education level:
Bachelor's Degree

Director, Emerging Regulatory Issues

We Work to Protect Investors. Join our Team.

We Work to Protect Investors. Join our Team.

The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Director, Emerging Regulatory Issues opening in Washington, DC. To be considered for this position, please submit your resume through our career site at – no phone calls, please.

Job Summary:

The goal of the Office of Emerging Regulatory Issues is two-fold: to identify emerging regulatory issues through a variety of information-gathering methods and to coordinate FINRA’s response to those issues. The Director performs both a procedural and substantive role in the Office by (1) managing various programs, projects and other initiatives coordinated by the Office, including various FINRA cross-departmental initiatives; and (2) participating in the formulation and implementation of the appropriate regulatory response to emerging issues.

Independently works to define the scope of applicable projects and obtains expertise in the emerging areas by engaging with relevant market participants, reviewing academic literature and other sources, and analyzing related data, in order to serve as resource on specific emerging areas in the securities industry to various departments throughout FINRA.

Essential Job Functions:
Research, analyze and report on new and emerging risks, market trends, and business practices, focusing on issues that may present risks for investors or market participants or may impact FINRA and its regulatory programs, including the areas of products, business models, and market practices in the securities industry. For example, emerging areas for analysis could include FinTech, developments in the swaps market, changes to securities market structure, and trends in certain securities product classes such as ETFs.
Support examination and enforcement efforts by providing research and insight on market developments that may influence or inform their work.
Facilitate the development of risk priorities for FINRA by providing contributions to the cross-department reports.
Facilitate and coordinate outreach to industry participants, research analysts, academics, and other regulators on matters pertaining to emerging regulatory issues.
Compile and provide analysis related to new products in conjunction with an independent industry survey and provide intelligence on certain firms.
Develop presentations, publications, and other written work product related to emerging issues so as to facilitate awareness of and responses to those issues throughout FINRA.
Regularly presents emerging areas of interest to FINRA’s CEO and other senior management
Represents FINRA in various forums such conference panels, leading discussion with regulators (such as the SEC and CFTC), and leading meetings with FINRA members to address various emerging issues in the securities market representing FINRA.
Responsible for keeping the Senior Director for Emerging Regulatory Issues and the Executive Vice Presidents of Regulation Analysis and Risk & Strategy apprised of the progress of relevant initiatives
Draft publications on emerging issues in the securities market that would be distributed to FINRA’s Board, senior management and staff, as well as reports that would be made available to outside groups.
Train FINRA staff.
Other Responsibilities:

The Director also works with the Senior Director for Emerging Regulatory Issues to:
Identify and manage new programs for gathering regulatory intelligence
Formulate responses to address to emerging issues.

Education/Experience Requirements:
Must have both project management and policy-related experience.
Bachelor’s degree or equivalent is required; an MBA, J.D. or Economics PhD is preferred.
Securities industry or regulatory experience is also preferred. A minimum of nine (9) years of experience, including three (3) years of directly related experience, including experience managing multiple projects, or similar, is required.
Competency with desktop computers, Microsoft Word and Excel required.
Experience with Bloomberg, PowerPoint and SharePoint are a plus.
Excellent writing, communication and interpersonal skills are required.
Working Conditions:
Work is normally performed in an office environment.
Occasional travel may be required.
Extended hours may be required.
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.