Director, TS Business Operations

FINRA

. Establish and execute short- to mid-term operational plans driving measurable results across Transparency Services .

Posted 9/23/2026full-timeUnited StatesLead💰 $161,200 - $312,600 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expert knowledge of equity market structure and trade reporting obligations, with a proven ability to lead real-time market operations and manage regulatory functions. Strong risk management capabilities and experience advising cross-functional stakeholders in a fast-paced, compliance-driven environment.

Highest-signal resume keywords

Expert Knowledge Of Equity Market StructureReal-Time Market Operations LeadershipTrade Reporting Facilities ManagementRisk Identification And MitigationTeam Management And Development

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Securities Industry ExperienceTrade Reporting ObligationsIncident ManagementRegulatory ComplianceData GovernanceMarket Halt ProtocolsRegulatory Intelligence AnalysisPerformance ManagementRisk Management StrategyOvernight Market Operations

Soft Skills

Coaching And FeedbackCross-Functional CollaborationInfluencing StakeholdersJudgment In Risk EscalationCareer Development Conversations

Industry Keywords

FINRASecurities Industry OversightTrade Reporting FacilityMarket IntegrityInvestor ProtectionRegulatory PolicyCompliance FunctionsOver-The-Counter TradingMarket RegulationRegulatory Alerts

About the role

Key responsibilities & impact

Establish and execute short- to mid-term operational plans driving measurable results across Transparency Services
Advise senior leaders on high-impact and sensitive regulatory issues
Contribute to annual and longer-term risk management strategy
Independently operate in a real-time overnight market-facing role
Interact with trading firms, Alternate Trading Systems, technology providers, and regulators
Lead FINRA’s real-time overnight response to market halts, trade breaks, and extraordinary market conditions for over-the-counter trading in exchange-listed securities
Field and resolve real-time inquiries from trading, operations, and compliance staff at participant firms
Establish and oversee Trade Reporting Facility participant contact and reference data databases
Advise and influence Transparency Services Operations, Market Regulation, and OGC on real-time issues
Manage a team of managers and/or experienced individual contributors
Conduct career development conversations and provide coaching and feedback
Identify and escalate significant regulatory risks and develop elevated risk mitigation plans
Direct staff reviewing and analyzing alerts and regulatory intelligence from internal sources, regulatory tips, customer complaints, firm filings, and regulator referrals
Assist with internal audits, SEC/FINRA and Securities Industry Oversight inspections, and Department compliance functions
Represent FINRA and the Department at regulatory policy conferences and meetings
Collaborate in-person and virtually to further FINRA’s investor protection and market integrity mission

Requirements

What you’ll need

Bachelor’s degree in Finance, Economics, Business, or related field
Minimum of 10 years of securities industry experience
Minimum of 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 review and analysis of regulatory alerts, tips, complaints, firm filings, and referrals
Mastery-level knowledge of industry practices
Ability to work in a 24-hour operating environment, including overnight coverage
Travel required as necessary
Compliance with FINRA investment restrictions, securities account disclosures, and employee confidentiality and invention assignment requirements

Benefits

Comp & perks

Discretionary bonus may be available in addition to base pay
Comprehensive health, dental and vision insurance
Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent 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 for an additional FINRA-funded retirement contribution
Tuition reimbursement
Commuter benefits
Adoption assistance
Backup family care
Surrogacy benefits
Employee assistance
Wellness programs
Paid time off starting at 15 days and increasing with years of service up to 25 days
5 personal days
9 sick days
2 volunteer service days
Military leave
Jury duty leave
Bereavement leave
Voting and election official leave
Care of a family member leave after 90 days of employment
Childbirth and parental leave after 90 days of employment
9 paid holidays for full-time employees