Teams at FINRA

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.

Reviews retail and institutional communications, sales materials, prospectuses, websites, and investment product filings for compliance with FINRA, SEC, MSRB, and SIPC advertising regulations. Provides written compliance comments and required revisions, responds to inquiries, assists investigations, tracks regulatory changes, supports outreach initiatives, and performs special projects. Requires strong analytical, written, and oral communication skills, finance and securities knowledge, and familiarity with broker-dealer marketing practices.

Leads FINRA’s Strategic Intelligence team in identifying, analyzing, and predicting emerging risks, threats, regulatory trends, and critical events. Develops intelligence frameworks, collection strategies, standards, and dissemination processes while overseeing strategic intelligence products and assessments. Builds partnerships with regulatory teams, member firms, law enforcement, and government intelligence organizations. Advises senior leadership, drives intelligence program improvements, leads training and industry engagements, and translates complex intelligence into actionable insights.