Director, Regulatory Operations, Risk Intelligence Operations Center

The Director of Execution Readiness & Mobilization is a role within the Risk Intelligence Operations Center (RIOC), responsible for turning risk intelligence and regulatory priorities into coordinated, execution-ready work. The role serves as the operational bridge between risk identification and regulatory action, ensuring intelligence reaches the right teams, in the right form, and at the right time, with the guidance and information needed to act. The Director provides strategic leadership across execution readiness activities and drives collaboration, consistency, and continuous improvement across RIOC and its regulatory partners.

Essential Job Functions

• Spearheading operational risk event/incident remediations and escalations, key procedural control assessments, refinements, and monitoring.

• Oversee the development and implementation of procedures and technology necessary to address ongoing needs of the Risk Intelligence Operations Center.

• Periodically assess practices and determine if a need exists for a procedure to be developed or updated.

• Lead the effort to identify, prioritize and resolve, where warranted, areas of inconsistent procedural application within the program.

• Utilize an inclusive process to determine a course of action correcting the area of concern or record the reasoning for retaining the inconsistency going forward.

• Develop and support the strategic leadership approach within the program.

• Maintain strong working knowledge of developments in the industry and work with management and other departments as needed to evolve the program to address such changes.

• Develop recommendations for corrective action implementation plans across the program in connection with oversights and lead implementation efforts.

• Coordinate with other departments in preparing responses, talking points and document productions relating to oversights, access (e.g., SEC, states) and ad hoc information requests relating to the program.

• Respond to inquiries from, and create and implement resolution plans for, Internal Audit and FINRA CCO exams/inquiries and related findings and conclusions.

• Demonstration of FINRA’s values.

• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Education/Experience Requirements

• Bachelor's Degree or an equivalent combination of education and experience required. Major in Accounting, Finance, Economics, Business Administration, or related fields preferred.

• MBA, JD, other graduate degree and/or relevant industry certification(s) preferred.

• Significant securities, compliance or financial regulatory experience.

• Prior experience in FINRA’s Exam and/or Risk Monitoring program preferred.

• Advanced analytical skills and experience in the financial industry.

• Demonstrated experience relating to all inherent industry risks (i.e. Operational, Sales Practice, Fraud and Deception, Money Laundering, Accuracy of Regulatory Capital, Credit, Market, Liquidity, and/or Segregation of Client Assets.

• Significant experience managing projects and/or people.

• FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.

Knowledge Requirements

• Expert knowledge of FINRA's risk hierarchy.

• Expert knowledge of securities rules and regulations.

• Expert knowledge of firm business models, business lines, customer bases, products and services.

• Expert knowledge of FINRA departments and their mandates.

Skill Requirements

• Self-starter and able to administer very complex assignments concurrently, including unstructured assignments that require autonomy and independent judgement.

• Advanced Verbal and Written Communication skills.

• Intermediate-to-Advanced level proficiency in Microsoft Excel, Word, and PowerPoint  Advanced ability to manage time effectively.

Working Conditions

• Hybrid work environment, with defined in-person presence requirements.

For work that is performed in Los Angeles and San Francisco, CA, CO, CT, IL, PA, MA, MD, VA, WA, DC, NY, NJ, WA please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and market considerations.

Los Angeles, CA: $ 180,000 - $270,000

San Francisco, CA: $188,000 - $281,000

Boston, MA: $154,400 - $299,600

Chicago, IL: $147,600 - $286,500

Denver, CO: $134,400 - $260,400

Jericho, NY: $154,400 - $299,600

Jersey City, NJ: $161,200 - $312,600

Philadelphia, PA: $147,600 - $286,500

New York, NY: $161,200 - $312,600

Rockville, MD: $154,400 - $299,600

Tysons, VA: $154,400 - $299,600

Washington, DC: $154,400 - $299,600

Woodbridge, NJ: $154,400 - $299,600

Connecticut State: $134,400 - $312,600

Washington State: $134,400 - $312,600

#LI-Hybrid

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter finra.org ↗ into your browser to reach our site directly.

Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.

Time Off and Paid Leave*

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program starting at 15 days of paid time off (increasing with years of service, up to 25 days), 5 personal days, and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

*Based on full-time schedule

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or be