Senior Director, Real-Time Market Operations

FINRA; New York (NY); Hybrid; USD 161,000 - 313,000; Full time

Benefits offered by this job

Health insurance

401(k) with company match

Paid time off

Tuition reimbursement

Job summary

FINRA is seeking a Director of Business Operations in Transparency Services, a leadership role responsible for short- to mid-term operational plans and risk management. The position oversees real-time overnight market operations, regulatory investigations, and cross-functional coordination with legal, compliance, and market participants.

Ideal candidates have a decade of securities industry experience, strong supervisory background, and expert knowledge of equity market structure, TRFs, and

Qualifications

• Bachelor’s degree in Finance, Economics, Business, or related field with 10+ years securities industry experience.
• 2+ years supervising projects or mentoring staff.
• Expert knowledge of equity market structure and OTC trading.
• Familiar with TRFs and data governance.
• Experience leading real-time market or regulatory operations with on-call/off-hour incident management.
• Experience managing managers and senior contributors with performance coaching.

Responsibilities

• Leads real-time overnight response to market halts, trade breaks, and other extraordinary market conditions for OTC trading in exchange-listed securities, contributing to short- to mid-term operational plans and risk management strategy.
• Fields and resolves real-time inquiries from trading, operations, and compliance staff at participant firms, directing issues to appropriate internal and external parties as needed.
• Establishes and oversees Trade Reporting Facility (TRF) participant contact and reference data databases across Transparency Services to drive measurable accuracy and operational improvements across the function.
• Advises and influences Transparency Services Operations, Market Regulation, and OGC to identify and resolve real-time issues affecting participant firms and influences external financial institutions and other regulators on new concepts, practices, and procedures to reach alignment.
• Manages a team of other managers and/or experienced individual contributors and is accountable for meaningful career development conversations and regular coaching and feedback.
• Identifies and escalates situations that may present significant regulatory risks and develops elevated risk mitigation plans to minimize future potential risks, contributing to risk management strategy.
• Directs staff in the review and analysis of alerts and regulatory intelligence from various sources to optimize investigative processes and drive function-wide impact.
• Demonstrates FINRA’s values and collaborates to advance investor protection and market integrity.

Skills

Leadership

Regulatory experience

Risk management

Incident management

Cross-functional collaboration

Communication

Education

Bachelor's degree in Finance/Economics/Business

Tools

TRF data management

Job description

FINRA is seeking a Director of Business Operations in Transparency Services, a leadership role responsible for short- to mid-term operational plans and risk management. The position oversees real-time overnight market operations, regulatory investigations, and cross-functional coordination with legal, compliance, and market participants.

Ideal candidates have a decade of securities industry experience, strong supervisory background, and expert knowledge of equity market structure, TRFs, and