Director, Execution Readiness & Regulatory Risk Operations

Financial Industry Regulatory Authority, Inc.; Boca Raton (FL); Hybrid; USD 180,000 - 270,000; Full time

Benefits offered by this job

Discretionary bonus

Health, dental and vision insurance

401(k) with company match

Paid time off

Job summary

FINRA is seeking a Director of Execution Readiness & Mobilization within the Risk Intelligence Operations Center (RIOC). This role translates risk intelligence and regulatory priorities into actionable, coordinated efforts across teams and time horizons.

You will provide strategic leadership for execution readiness, drive continuous improvement, and collaborate with FINRA’s regulatory partners to ensure timely, accurate responses and robust controls.

Qualifications

• Significant securities, compliance or financial regulatory experience.
• Bachelor's degree or equivalent required.
• SIE certification required within 16 months of hire.

Responsibilities

• Spearhead operational risk event remediations and escalations.
• Oversee development and implementation of procedures and technology for the RIOC.
• Periodically assess practices and determine if procedures need updating.
• Lead identification, prioritization and resolution of inconsistent procedural application.
• Coordinate with departments for responses and ad hoc information requests.
• Develop recommendations for corrective action and implementation plans across the program.

Skills

Analytical skills

Autonomy

Communication skills

Time management

Education

Bachelor's degree

MBA/JD or related graduate degree

SIE certification (or equivalent)

Tools

Microsoft Excel

Microsoft Word

PowerPoint

Job description

FINRA is seeking a Director of Execution Readiness & Mobilization within the Risk Intelligence Operations Center (RIOC). This role translates risk intelligence and regulatory priorities into actionable, coordinated efforts across teams and time horizons.

You will provide strategic leadership for execution readiness, drive continuous improvement, and collaborate with FINRA’s regulatory partners to ensure timely, accurate responses and robust controls.