Executive Vice President, Risk & Intelligence

The Executive Vice President of Risk and Intelligence is a strategic leader reporting directly to the Chief Regulatory Operations Officer, serving as key member of the Regulatory Operations Senior Leadership Team. This role will directly oversee the four departments related to risk monitoring, intelligence, collection and dissemination, and emerging risk identification to enhance FINRA's regulatory effectiveness.

Division Structure:

The EVP will lead four dedicated departments:

• Risk Monitoring, Statutory Disqualification & Membership Application Team – Risk Monitoring proactively monitors, analyzes, and assesses risk which enables FINRA to implement a risk-based regulatory program.  The Membership Application Program reviews and approves of new and continuing membership applications. These teams work conti...