Senior Director, Surveillance and Market Intelligence

The Senior Director is a key member of the Market Regulation Surveillance and Market Intelligence section’s leadership team and is responsible for the effective generation and progression of regulatory reviews conducted by the section. This role communicates and innovates with peers across the organization to facilitate sharing of surveillance intelligence to improve our ability to meet FINRA’s mission. The function of this role is to ensure that member firms are complying with applicable rules and regulations. This role administers directives and policies established by Market Regulation & Transparency Services (MRTS) to ensure the effective and efficient functioning of assigned teams.