Senior Advisor: Market Regulation & Regulatory Service Agreement (RSA)
Core
Strategic regulatory advisor and subject matter expert on market structure, market regulation, and Regulatory Services Agreement (RSA) matters, providing critical leadership in analyzing regulatory developments and shaping organizational positions.
Role type
Senior Advisor (Strategy & Policy)
Builds
Organizational policy frameworks, regulatory intelligence materials, and unified FINRA positions on critical regulatory issues.
Domain
Financial Services / Securities Regulation / Market Regulation
Deliverable
Dashboards & analysis
Required skills
Securities regulation expertise, Regulatory Services Agreement (RSA) knowledge, Market structure analysis, Policy development, Regulatory interpretation, Cross-functional collaboration, Strategic thinking, Complex information synthesis
Preferred skills
Advanced degree (JD, MBA, or relevant master's), Experience in trading surveillance or market investigations
Technologies
None stated
Responsibilities
Monitor and interpret complex regulatory developments from exchanges, FINRA, and the SEC; Provide expert guidance to senior leadership on operational and strategic implications of new regulations; Direct preparation of regulatory intelligence materials; Partner with policy teams to codify new requirements into operational procedures; Represent Regulatory Operations in high-level RSA meetings and strategic initiatives; Synthesize multi-dimensional input on key regulatory issues into actionable recommendations.
Seniority
Senior, hands-on IC with strategic advisory focus