Teams at FINRA

Leads FINRA’s strategic intelligence function, overseeing teams that identify, analyze, and predict threats, emerging risks, and regulatory trends affecting financial markets. Develops intelligence frameworks, collection strategies, assessments, briefings, and executive communications. Advises senior leadership, collaborates with regulators and law enforcement, manages organizational resources, and builds high-performing intelligence teams. Requires extensive intelligence expertise, financial regulatory knowledge, strategic leadership, and the ability to translate technical analysis into actionable insights.

Leads FINRA’s trading and product risk intelligence function, overseeing experts who identify, analyze, and predict regulatory trends, market risks, threats, and critical events. Develops intelligence products and strategic assessments for senior leaders and regulatory stakeholders, establishes collection and dissemination frameworks, and builds relationships with regulators, law enforcement, exchanges, and industry participants. Manages team strategy, staffing, budgets, talent development, and cross-functional initiatives supporting investor protection and market integrity.

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.