Teams at FINRA

Leads market strategy and regulatory research for Surveillance, assessing regulatory risks, market trends, rule changes, and significant events. Produces executive reports, presentations, SWOT analyses, and risk assessments; supports audits, SEC oversight inspections, and strategic planning. Builds relationships with senior leaders, regulators, and market participants while coordinating cross-functional responses to investor protection risks. Requires extensive securities regulation, broker-dealer operations, market surveillance, regulatory strategy, executive reporting, and leadership experience.

Leads FINRA’s trading and product risk intelligence function, overseeing experts who identify, analyze, and predict regulatory trends, market risks, threats, and critical events. Develops intelligence products and strategic assessments for senior leaders and regulatory stakeholders, establishes collection and dissemination frameworks, and builds relationships with regulators, law enforcement, exchanges, and industry participants. Manages team strategy, staffing, budgets, talent development, and cross-functional initiatives supporting investor protection and market integrity.

Conducts complex regulatory analyses of FINRA firms’ public communications, coordinates examinations with internal departments and regulators, documents findings, and supports disciplinary actions. Reviews analytical sign-offs for accuracy and rule application, trains and coaches staff, monitors workflow, contributes to policy and rule development, represents the department at conferences, and handles special projects. Requires expertise in securities, broker-dealer services, advertising regulations, and FINRA, SEC, MSRB, and SIPC rules.