The Director of Business Operations in Transparency Services, is a member of the Department's leadership team, responsible for establishing and executing short- to mid-term operational plans that drive measurable results across the sub-function. Advises senior leaders on high-impact and sensitive regulatory issues and contributes to the development and implementation of annual and longer-term risk management strategy. Operates in a real time overnight market facing role independently including interactions with trading firms, Alternate Trading Systems (ATS), technology providers, and regulators, influencing external financial institutions and other regulators on new concepts, practices, and procedures to reach alignment. This position manages a team of other managers and/or experienced individual contributors and is accountable for meaningful career development conversations and regular coaching and feedback.

• Leads FINRA's real-time overnight response to market halts, trade breaks, and other extraordinary market conditions for over-the-counter 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 that could adversely affect the organization and develop elevated risk mitigation plans to minimize future potential risks, contributing to the development and implementation of annual and longer-term risk management strategy spanning the function.
• Directs staff in the review and analysis of alerts and regulatory intelligence received through a variety of sources, including internal sources, regulatory tips, customer complaints, firm regulatory filings, and referrals from other regulators, drawing on mastery-level knowledge of industry practices to optimize investigative processes and drive function-wide impact.    
• Demonstrates FINRA’ values. 
• Collaborates, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Other Responsibilities:

• Assists with internal audit reviews, SEC FINRA and Securities Industry Oversight (FSIO) inspections, and other Department compliance functions.
• Represents FINRA and the Department including speaking engagements at regulatory policy public conferences and meetings. 

Education/Experience Requirements:

• Bachelor’s degree in Finance, Economics, Business, or related field and a minimum of ten years (10) of securities industry experience.
• Minimum of two (2) years of experience supervising projects and/or mentoring junior and senior staff.
• Expert knowledge of equity market structure, including over-the-counter trading in exchange-listed securities, trade reporting obligations, and market halt/trade break protocols and procedures.
• Strong familiarity with Trade Reporting Facilities (TRFs) and related participant data management, including contact and reference data governance and operational accuracy initiatives.
• Demonstrated experience leading real-time market operations or regulatory operations functions, including overnight/on-call response capabilities and incident management under time-sensitive conditions.
• Proven ability to manage managers and/or senior individual contributors, including accountability for performance management, coaching, feedback, and meaningful career development.
• Strong risk identification and escalation judgment, with experience developing and implementing risk mitigation plans and contributing to short-, mid-, and long-term risk management strategy.
• Experience advising and influencing cross-functional stakeholders, including legal, compliance, regulatory, and operations teams, as well as external financial institutions and regulators.
• Proficiency in directing investigative or surveillance workflows, including the review and analysis of regulatory alerts, tips, complaints, firm filings, and referrals, with mastery-level knowledge of industry practices

Working Conditions:

• Hybrid work environment with hours which may extend beyond normal business hours.
• Travel will be required, as necessary.
• This role supports a 24-hour operating environment and may require shifts that include overnight coverage.

For work that is performed in 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. 

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

#LI-Hybrid

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.

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.

*Based on full-time schedule

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: click here for required notice(s).

Search Firm Representatives

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FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

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