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Director, Operations, Procedures and Standards - Job Opportunity at FINRA

Boca Raton, United States
Full-time
Executive
Posted: February 25, 2025
Hybrid
USD 131,100 - 305,000 per year

Benefits

Comprehensive healthcare with dental and vision coverage - competitive for financial sector
401(k) matching with immediate vesting - above industry standard
Additional FINRA-funded retirement contribution - distinctive benefit
Professional development through tuition reimbursement
Flexible work-life balance with 15 days PTO, 5 personal days, 9 sick days
Family-focused benefits including adoption assistance and surrogacy coverage
Wellness programs and backup family care support
Commuter benefits and legal assistance programs

Key Responsibilities

Strategic leadership of operational risk framework across First and Second Lines of Defense
Development and oversight of program-wide procedures and standards
Management of regulatory compliance and audit responses including SEC interactions
Leadership of quality assurance and continuous improvement initiatives
Strategic coordination with Data Analytics for program reporting and metrics
Risk management and procedural control implementation across all Firm Groups

Requirements

Education

Bachelor's Degree required, MBA/JD/Graduate degree preferred

Experience

Significant securities, compliance or financial regulatory experience

Required Skills

Expert knowledge of FINRA's risk hierarchy Expert knowledge of securities rules and regulations Expert knowledge of firm business models Advanced analytical skills Advanced Verbal and Written Communication skills Intermediate-to-Advanced level proficiency in Microsoft Office Advanced ability to manage time effectively

Certifications

Relevant industry certifications preferred
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Sauge AI Market Intelligence

Industry Trends

Increased regulatory scrutiny in financial markets is driving demand for sophisticated compliance leadership roles Integration of data analytics with traditional compliance functions represents a key industry shift Growing emphasis on operational resilience and risk management in financial institutions post-pandemic

Salary Evaluation

The offered salary range of $131,100-$305,000 aligns with market expectations for executive compliance roles, with location-based adjustments reflecting cost-of-living considerations. The wide range suggests room for significant experience-based differentiation.

Role Significance

Likely leads a substantial team given the scope of responsibilities and organizational complexity
Director-level position with significant strategic influence on organizational risk management and compliance frameworks

Key Projects

Implementation of enterprise-wide risk management frameworks Regulatory compliance program modernization Cross-functional process standardization initiatives Quality assurance system development

Success Factors

Deep understanding of regulatory landscape and FINRA operations Ability to navigate complex stakeholder relationships including regulatory bodies Strong strategic planning and execution capabilities Excellence in change management and organizational development

Market Demand

High demand position due to increasing regulatory complexity and focus on operational risk management in financial services

Important Skills

Critical Skills

Risk management expertise - essential for framework development and implementation Regulatory knowledge - crucial for ensuring compliance and standard-setting Strategic leadership - vital for program direction and stakeholder management

Beneficial Skills

Change management capabilities Data analytics understanding Process improvement methodology expertise

Unique Aspects

Rare opportunity to influence industry-wide standards and practices
Direct involvement with SEC and regulatory bodies
Combination of operational leadership and regulatory expertise requirements

Career Growth

Typical progression to next level within 3-5 years with demonstrated success in role

Potential Next Roles

Vice President of Compliance Chief Compliance Officer Head of Risk Management Chief Operating Officer

Company Overview

FINRA

FINRA is the leading non-governmental regulator for securities firms in the United States

Premier organization in financial industry regulation with significant influence on market practices
Strong national presence with multiple strategic locations across the United States
Professional environment with emphasis on regulatory excellence and continuous improvement
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