Director, Regulatory Operations, Risk Intelligence Operations Center

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

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.

Salary Ranges

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

Benefits

• 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.

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 beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts.
• All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA.
• Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.
• You can read more about these restrictions here.
• As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.
• Washington state applicants:

About FINRA

• FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States.
• FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight.
• In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates.
• FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers.
• FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms.
• FINRA uses technology powerful enough to look across markets and detect potential abuses.
• Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage.
• In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets.
• FINRA operates from Washington, DC, and New York, NY, with other offices around the country.
• Find out more about us and how we work—and view our current openings—at www.finra.org/careers.

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