Director, Regulatory Operations, Risk Intelligence Operations Center

FINRA • Boca Raton, FL

5d • Hybrid

About The Position

The Director of Execution Readiness & Mobilization is part of the Risk Intelligence Operations Center (RIOC) and turns risk intelligence and regulatory priorities into coordinated, execution-ready work. The role bridges risk identification and regulatory action, ensuring 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 role leads operational risk event and incident remediation and escalation, procedural control assessment and refinement, and monitoring. It oversees development and implementation of procedures and technology for RIOC, evaluates whether procedures need to be developed or updated, and leads efforts to identify, prioritize, and address inconsistent application of procedures. The Director develops program-wide corrective action recommendations and leads implementation, coordinates responses and materials for oversight and information requests, and responds to Internal Audit and FINRA CCO exams and inquiries, including developing resolution plans for related findings and conclusions.

The position requires significant securities, compliance, or financial regulatory experience; advanced analytical skills; and significant experience managing projects and/or people. It operates in a hybrid work environment with defined in-person presence requirements. Compensation varies by listed work location. Employees may be eligible for a discretionary bonus in addition to base pay.

Requirements

• Bachelor’s degree or an equivalent combination of education and experience.
• Significant securities, compliance, or financial regulatory experience.
• Advanced analytical skills and financial-industry experience.
• Demonstrated experience relating to 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.
• FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification upon hire or within 16 months of the start date of the assigned SIE training cohort.
• Expert knowledge of FINRA’s risk hierarchy, securities rules and regulations, firm business models and operations, and FINRA departments and their mandates.
• Ability to administer very complex assignments concurrently, including unstructured assignments requiring 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.

Nice To Haves

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

Responsibilities

• Spearhead operational risk event and incident remediation and escalation, key procedural control assessments and refinements, and monitoring.
• Oversee development and implementation of procedures and technology needed to address ongoing RIOC needs.
• Periodically assess practices and determine whether procedures need to be developed or updated.
• Lead identification, prioritization, and resolution of areas of inconsistent procedural application, using an inclusive process to determine corrective action or document the rationale for retaining an inconsistency.
• Develop and support the program’s strategic leadership approach.
• Maintain working knowledge of industry developments and work with management and other departments to evolve the program in response.
• Develop recommendations for corrective action implementation plans across the program in connection with oversights and lead implementation efforts.
• Coordinate with other departments to prepare responses, talking points, and document productions relating to oversight, access (e.g., SEC and states), and ad hoc information requests concerning the program.
• Respond to Internal Audit and FINRA CCO exams and inquiries and create and implement resolution plans for related findings and conclusions.
• Demonstrate FINRA’s values and collaborate in person and virtually in furtherance of investor protection and market integrity.

Benefits

• Discretionary bonus may be available in addition to base pay.
• Health insurance, dental insurance, and 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, long-term care, business travel accident, and legal insurance.
• Immediate participation and vesting in a 401(k) plan with company match; potential eligibility for an additional FINRA-funded retirement contribution.
• Tuition reimbursement.
• Commuter benefits.
• Adoption assistance, backup family care, and 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, prorated in the first year as applicable.
• Two volunteer service days based on a full-time schedule.
• Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave, family-member care leave after 90 days of employment, and childbirth and parental leave after 90 days of employment.
• Nine paid holidays for full-time employees.

What This Job Offers

• Job Type: Full-time
• Career Level: Director