Director, Execution Readiness & Risk Intelligence

FINRA

Boca Raton (FL)

Hybrid

USD 154,000 - 313,000

Full time

9 hours ago

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Benefits offered by this job

Discretionary bonus

Health, dental & vision insurance

401(k) with company match

Tuition reimbursement

Job summary

FINRA is seeking a Director of Execution Readiness & Mobilization within the Risk Intelligence Operations Center to translate risk intelligence and regulatory priorities into 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.

The position provides strategic leadership across execution readiness activities, drives collaboration and continuous

Qualifications

Bachelor's Degree or equivalent required; finance-related fields preferred.
MBA, JD or graduate degree preferred.
Significant securities/regulatory experience.
Prior FINRA Exam/Risk Monitoring experience preferred.
Advanced analytical skills in financial services.
FINRA SIE certification required by hire or within 16 months.
Experience with operational risk and regulatory programs.

Responsibilities

Lead risk event remediation, escalations, and issue monitoring.
Oversee procedures and technology for the Risk Intelligence Operations Center (RIOC).
Assess practices and update procedures as needed.
Identify and resolve inconsistent procedural applications within the program.
Develop corrective action plans and drive implementation.
Coordinate responses for oversights and information requests (audits/exams).
Foster collaboration and continuous improvement across RIOC and partners.