Director, Market Strategy & Research
Core
Lead proactive regulatory risk assessment and develop regulatory strategy for the Surveillance department to ensure market integrity and investor protection.
Role type
Director, Market Strategy & Research (Regulatory)
Builds
Specialized reports on regulatory issues, SWOT analyses, and executive-level presentations for senior leadership and the board.
Domain
Financial Regulation / Securities Compliance
Deliverable
dashboards & analysis
Required skills
Regulatory strategy development, risk assessment, rule change management, executive reporting, stakeholder management, financial regulation knowledge, project management
Preferred skills
MBA or JD, FINRA SIE certification, securities market structure expertise, enterprise risk management experience
Technologies
None explicitly stated
Responsibilities
Conduct qualitative research on market conditions, manage analysts for specialized reports, assess high-risk issues for senior leadership, develop SWOT analyses, manage rule change impacts, prepare for SEC/FINRA audits, represent leadership at external events
Seniority
Director, strategic leadership & team management
