Director Financial Innovation

Profile

Director, Financial Innovation
Duties: Research, analyze and report on new and benefits and risks, market trends, and business practices, focusing on innovation issues that may influence investors or market participants or may impact its regulatory programs, including the areas of products, business models, and market practices in the securities industry. For example, financial innovations and other emerging areas for analysis could include artificial intelligence, distributed ledger technology, big data analytics and associated developments in the swaps market, changes to securities market structure, and trends in certain securities product classes such as ETFs. Support examination and enforcement efforts by providing research and insight on market developments that may influence or inform their work.
Facilitate the development of risk priorities by providing contributions to the cross-department reports. Facilitate and coordinate outreach to industry participants, research analysts, academics, and other regulators on matters pertaining to emerging regulatory issues. Compile and provide analysis related to new products in conjunction with an independent industry survey and provide intelligence on certain firms. Develop presentations, publications, and other written work product related to emerging issues so as to facilitate awareness of and responses to those issues. Regularly presents on financial innovations and other emerging areas of interest to CEO and other senior management. Represents in various forums such conference panels, leading discussion with regulators (such as the SEC and CFTC), and leading meetings with members to address various issues in the securities market representing. Responsible for keeping the Senior Director (“Head”) of the Office of Financial Innovation and the Executive Vice President of Regulation Analysis apprised of the progress of relevant initiatives. Draft publications on financial innovations and other emerging issues in the securities market that would be distributed to Board, senior management and staff, as well as reports that would be made available to outside groups. Train staff.

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