Director, Regulatory Operations, Risk Intelligence Operations Center

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…