Director, Real-Time Market Operations & Risk

FINRA; Rockville (MD); Hybrid; USD 154,000 - 300,000; Full time

Job summary

FINRA in Rockville, MD is seeking a Director of Business Operations within Transparency Services to lead real-time overnight market operations, oversee risk and incident response, and drive measurable improvements across the function. You will interact with trading firms, ATS, technology providers, and regulators to reach alignment on new concepts and procedures.

You will mentor a team of managers and experienced staff, shape short- and mid-term plans, advise senior leaders on regulatory issues,

Qualifications

• Bachelor’s degree in Finance, Economics, Business, or related field; minimum of ten years securities industry experience.
• Minimum of two years supervising projects and/or mentoring staff.
• Expert knowledge of equity market structure, including OTC trading, TRFs, and market halt protocols.
• Strong familiarity with Trade Reporting Facilities (TRFs) and data governance.
• Experience leading real-time market operations or regulatory operations under time-sensitive conditions.
• Proven ability to manage managers and senior contributors, including performance development.
• Strong risk identification and escalation judgment with risk mitigation experience.
• Experience advising cross-functional stakeholders and external regulators.

Responsibilities

• Leads real-time overnight response to market halts, trade breaks, and extraordinary conditions; informs risk management strategy.
• Fields and resolves real-time inquiries from trading, operations, and compliance staff; directs issues to appropriate parties.
• Establishes and oversees TRF participant data governance to improve accuracy and efficiency.
• Advises Transparency Services, Market Regulation, and OGC to resolve real-time regulatory issues and align practices.
• Manages a team of managers and experienced contributors with career development and coaching.
• Identifies regulatory risks and develops mitigation plans spanning short- to long-term strategies.
• Directs reviews of alerts/regulatory intelligence to optimize investigative processes across the function.
• Collaborates with internal and external stakeholders to uphold FINRA’s mission of investor protection and market integrity.

Skills

Leadership

Regulatory knowledge

Risk management

Incident management

Overnight operations

Education

Bachelor’s degree in Finance, Economics, Business, or related field

Job description

FINRA in Rockville, MD is seeking a Director of Business Operations within Transparency Services to lead real-time overnight market operations, oversee risk and incident response, and drive measurable improvements across the function. You will interact with trading firms, ATS, technology providers, and regulators to reach alignment on new concepts and procedures.

You will mentor a team of managers and experienced staff, shape short- and mid-term plans, advise senior leaders on regulatory issues,