Director, Regulatory Operations, Risk Intelligence Operations Center

FINRA•Jersey City, NJ

6d•$134,400 - $312,600•Hybrid

About The Position

The Director of Execution Readiness & Mobilization is part of FINRA’s Risk Intelligence Operations Center (RIOC). The role turns risk intelligence and regulatory priorities into coordinated, execution-ready work, serving as the operational bridge between risk identification and regulatory action. It ensures intelligence reaches the appropriate teams in a useful form and at the right time, with the guidance and information needed to act. The Director provides strategic leadership across execution-readiness activities and promotes collaboration, consistency, and continuous improvement across RIOC and its regulatory partners. The position leads operational risk-event and incident remediation and escalation, procedural-control assessment and monitoring, and the development and implementation of procedures and technology that support RIOC. It evaluates whether practices need new or updated procedures, leads efforts to identify and address inconsistent procedural application, and uses an inclusive process to determine corrective action or document why an inconsistency should remain. The Director develops strategic recommendations and corrective-action plans, leads their implementation, and works with management and other departments to adapt the program to industry developments. The role coordinates responses, talking points, and document production for oversight, access, and ad hoc information requests, including those involving the SEC and states. It responds to Internal Audit and FINRA CCO inquiries and exams and develops and implements resolution plans for associated findings and conclusions. The position requires collaboration in person and virtually in support of FINRA’s investor-protection and market-integrity mission, and demonstration of FINRA’s values. The position works in a hybrid environment with defined in-person presence requirements. Listed base salary ranges vary by location, from $134,400 to $312,600; employees may also be eligible for a discretionary bonus. FINRA offers a comprehensive benefits and paid-leave program. Applications are accepted on an ongoing basis.

Requirements

Bachelor’s degree or an equivalent combination of education and experience.
Significant securities, compliance, or financial regulatory experience.
Advanced analytical skills and experience in the financial industry.
Demonstrated experience relating to inherent industry risks, including 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.
Expert knowledge of FINRA’s risk hierarchy, securities rules and regulations, firm business models, business lines, customer bases, products and services, and FINRA departments and their mandates.
Ability to administer very complex concurrent assignments, including unstructured assignments, with autonomy and independent judgment.
Advanced verbal and written communication skills.
Intermediate-to-advanced proficiency in Microsoft Excel, Word, and PowerPoint.
Advanced ability to manage time effectively.
FINRA Securities Industry Essentials (SIE) certification or an acceptable industry-equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.

Nice To Haves

Major in Accounting, Finance, Economics, Business Administration, or a related field.
MBA, JD, another graduate degree, and/or relevant industry certification(s).
Prior experience in FINRA’s Exam and/or Risk Monitoring program.

Responsibilities

Lead operational risk-event and incident remediation and escalations, including key procedural-control assessments, refinements, and monitoring.
Oversee development and implementation of procedures and technology to address the ongoing needs of the Risk Intelligence Operations Center.
Periodically assess practices and determine whether procedures need to be developed or updated.
Lead identification, prioritization, and resolution, where warranted, of inconsistent procedural application across the program.
Use an inclusive process to determine corrective action or document the rationale for retaining an inconsistency.
Develop and support the program’s strategic leadership approach.
Monitor industry developments and work with management and other departments to evolve the program in response.
Develop recommendations for corrective-action implementation plans related to oversight and lead implementation efforts.
Coordinate with other departments to prepare responses, talking points, and document productions for oversight, access, and ad hoc information requests, including requests relating to the SEC and states.
Respond to Internal Audit and FINRA CCO exams and inquiries and create and implement resolution plans for related findings and conclusions.
Collaborate in person and virtually in support of FINRA’s mission of investor protection and market integrity, and demonstrate FINRA’s values.

Benefits

Employees may be eligible for a discretionary bonus.
Comprehensive health insurance.
Dental insurance.
Vision insurance.
Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and related accidental death and dismemberment insurance.
Short- and long-term disability insurance.
Long-term care insurance.
Business travel accident insurance.
Legal insurance.
Immediate participation and vesting in a 401(k) plan with company match.
Eligibility to participate in an additional FINRA-funded retirement contribution.
Tuition reimbursement.
Commuter benefits.
Adoption assistance.
Backup family care.
Surrogacy benefits.
Employee assistance and wellness programs.
Paid time off starting at 15 days and increasing with years of service up to 25 days.
Five personal days and nine sick days, pro-rated in the first year where applicable.
Two volunteer service days based on a full-time schedule.
Paid military, jury duty, bereavement, voting and election official, family member care, childbirth, and parental leave, subject to stated eligibility and other conditions.
Nine paid holidays for full-time employees.