Executive Vice President, Regulatory Operations - Risk & Intelligence

The Executive Vice President of Risk and Intelligence is a senior executive accountable for the full lifecycle of regulatory risk intelligence at FINRA. Reporting directly to the Chief Regulatory Operations Officer and serving as a principal member of the Senior Leadership Team, this leader directs a 300+ person division across four departments — shaping how FINRA identifies, monitors, and responds to emerging threats across the U.S. securities markets. This is a rare opportunity to lead a high-impact function at the center of U.S. market oversight, with enterprise-wide influence and visibility at the most senior levels of the organization. Division Structure: The EVP will lead four dedicated departments: Risk Monitoring, Statutory Disqualification   & Membership Application Team – Risk Monitoring proactively monitors, analyzes, and assesses risk which enables FINRA to implement a risk-based regulatory program.  The Membership Application Program reviews and approves of new and continuing membership applications. These teams work continuously to engage and assess member firm and market risk. Intelligence  – Collection, analysis, and synthesis of regulatory intelligence from internal and external sources Risk Identification Operations Center  – Translation of insights into actionable intelligence products and enablement of cross-organizational decision-making Frontier Risk  – Identification and analysis of emerging threats, including technology-driven risks, novel market structures, GenAI, tokenization, digital assets, and evolving regulatory challenges Key Responsibilities: Strategic Leadership Establish and execute the strategic vision for Risk and Intelligence as FINRA's central hub for integrated risk assessment and intelligence operations Serve as a key advisor to executive leadership and the Board on systemic risks, emerging threats, and regulatory priorities Drive collaboration across Regulatory Operations departments to ensure risk intelligence informs (and is informed by) examination priorities, investigations, surveillance, and enforcement actions Build and maintain relationships across FINRA Broker/Dealer Expertise Engage with member firms across several fronts to include membership applications, risk monitoring meetings, and intelligence sharing Participate in member firm committee meetings, roundtables, webinars related to the intersection of risk, effective practices, escalations, and engagement with membership Build and maintain relationships with industry participants, other regulators, law enforcement, and intelligence partners Operational Excellence Oversee the development of sophisticated risk monitoring frameworks that synthesize data from surveillance, examinations, enforcement, and other internal and external sources Direct intelligence operations that identify patterns, connections, and trends across member firm activities, market events, and external threat vectors Establish governance frameworks for risk assessment methodologies, intelligence standards, and information sharing protocols Ensure timely dissemination of actionable intelligence to appropriate stakeholders across the organization Innovation and Modernization Champion the adoption of advanced analytics, artificial intelligence, machine learning, and other emerging technologies to enhance risk detection and intelligence capabilities Build a forward-looking capability to identify and assess frontier risks including those related to crypto assets, novel algorithmic trading, cyber threats, and novel fraud schemes Foster a culture of innovation, continuous learning, and analytical rigor within the division Team Development Recruit, develop, and retain top-tier talent across risk management, intelligence analysis, data science, and regulatory domains Create a collaborative, high-performance culture that values diverse perspectives and interdisciplinary approaches Establish career development pathways and training programs to build organizational capability Qualifications: Required 15+ years of progressive leadership experience in financial services regulation, risk management, intelligence operations, or related fields Deep understanding of securities markets, broker-dealer operations, and regulatory frameworks Proven track record of building and leading complex, multi-disciplinary organizations Demonstrated ability to translate complex data and intelligence into strategic insights and actionable recommendations Strong executive presence with exceptional communication skills and ability to influence senior stakeholders Experience establishing governance frameworks and operational processes for risk and intelligence functions Bachelor's degree required; advanced degree (MBA, JD, or relevant Master's) strongly preferred FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort. Preferred Direct experience in SRO, SEC, or other financial regulatory environment Background in intelligence operations Experience managing cross-functional initiatives across large, complex organizations Knowledge of emerging technologies and their implications for market structure and regulatory oversight Core Competencies Strategic Vision  – Ability to anticipate future risks and position the organization to address them proactively Analytical Rigor  – Comfort with data-driven decision making and sophisticated analytical methodologies Collaborative Leadership  – Skilled at building consensus and driving outcomes across organizational boundaries Communication Excellence  – Ability to distill complex risk and intelligence assessments for diverse audiences Change Management  – Experience leading organizational transformation and cultural change Judgment and Integrity  – Impeccable ethical standards and sound judgment in han