Director, TS Business Operations
FINRA · New York, NY · 3 wk ago
HybridManagement$154k–$300k/yrFull-time
We need to output HTML fragment with sections: About the role? The posting includes description. We need to use for section headings like About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule. We must include sections only when posting has real specific content. We need to extract content.
We have a job posting: Director of Business Operations in Transparency Services. Content includes responsibilities, requirements, working conditions, benefits, pay ranges per location, schedule (hybrid, may extend beyond normal business hours, overnight coverage, travel). Also mention discretionary bonus, health insurance, 401k, tuition reimbursement, commuter benefits, time off, holidays, etc.
We must not repeat job title as heading. No Job ID. Remove boilerplate: cookie/navigation/legal/EEO/equal-opportunity/scam-warning, duplicated lines, application instructions. Also remove "To be considered for this position, please submit an application..." etc. Also remove "Search Firm Representatives", "FINRA is an Equal Opportunity Employer", etc. Also remove "Important Information" about code of conduct? That's legal/boilerplate; we should remove. Also remove "©2026 FINRA..." etc.
We need to preserve substantive info: responsibilities, requirements, qualifications, skills, benefits, pay, schedule.
We need to decide sections: About the role (maybe a brief summary), Responsibilities, Requirements (education/experience), Qualifications (maybe same as requirements?), Skills, Benefits, Pay, Schedule.
We must not create sections with filler like "commensurate with experience". We have actual pay ranges per location, so we can include Pay section with those ranges.
Schedule: mention hybrid work environment, hours may extend beyond normal business hours, 24-hour operating environment, may require shifts that include overnight coverage, travel as necessary.
Benefits: list health, dental, vision insurance, basic life, AD&D, supplemental life, spouse/domestic partner life, short- and long-term disability, long-term care, business travel accident, disability and legal, 401(k) with company match, additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, adoption assistance, backup family care, surrogacy benefits, employee assistance, wellness programs, time off: 15-25 PTO, 5 personal days, 9 sick days, two volunteer service days, other paid leave (military, jury, bereavement, voting, care of family member after 90 days, childbirth/parental after 90 days), nine paid holidays.
We need to ensure we don't include duplicated lines.
We need to output only HTML fragment, no or , no markdown fences.
Let's craft.
First, maybe an About the role section: a brief paragraph summarizing role: Director of Business Operations in Transparency Services, member of leadership team, responsible for establishing/executing short- to mid-term operational plans, advising senior leaders on regulatory issues, leading real-time overnight response, managing team, etc.
Then Responsibilities: list bullet points.
We need to avoid duplication: many responsibilities repeated. We'll consolidate unique responsibilities.
Let's extract unique responsibilities:
- Establishing and executing short- to mid-term operational plans that drive measurable results across the sub-function.
- Advising senior leaders on high-impact and sensitive regulatory issues.
- Contributing to development and implementation of annual and longer-term risk management strategy.
- Operating in real-time overnight market facing role independently, interacting with trading firms, ATS, technology providers, regulators, influencing external financial institutions and other regulators on new concepts, practices, procedures.
- Managing a team of other managers and/or experienced individual contributors; accountable for meaningful career development conversations and regular coaching and feedback.
- Leading FINRA's real-time overnight response to market halts, trade breaks, and other extraordinary market conditions for OTC 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, compliance staff at participant firms; directing issues to appropriate internal and external parties as needed.
- Establishing and overseeing Trade Reporting Facility (TRF) participant contact and reference data databases across Transparency Services to drive measurable accuracy and operational improvements.
- Advising and influencing Transparency Services Operations, Market Regulation, and OGC to identify and resolve real-time issues affecting participant firms; influencing external financial institutions and other regulators on new concepts, practices, procedures.
- Identifying and escalating situations that may present significant regulatory risks; developing elevated risk mitigation plans to minimize future potential risks; contributing to development and implementation of annual and longer-term risk management strategy.
- Directing staff in review and analysis of alerts and regulatory intelligence from various sources; drawing on mastery-level knowledge of industry practices to optimize investigative processes and drive function-wide impact.
- Demonstrates FINRA values; collaborates in-person and virtually to further FINRA’s mission of investor protection and market integrity.
- 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.
That's a good list.
Now Requirements/Education/Experience:
- Bachelor’s degree in Finance, Economics, Business, or related field.
- 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 OTC 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, with mastery-level knowledge of industry practices.
We could split into Requirements (education/experience) and Qualifications/Skills. But we can combine.
The instruction: Use headings for About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule. We need to include sections only when posting has real specific content. We have content for all.
We'll create:
for section headings like About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule. We must include sections only when posting has real specific content. We need to extract content.
We have a job posting: Director of Business Operations in Transparency Services. Content includes responsibilities, requirements, working conditions, benefits, pay ranges per location, schedule (hybrid, may extend beyond normal business hours, overnight coverage, travel). Also mention discretionary bonus, health insurance, 401k, tuition reimbursement, commuter benefits, time off, holidays, etc.
We must not repeat job title as heading. No Job ID. Remove boilerplate: cookie/navigation/legal/EEO/equal-opportunity/scam-warning, duplicated lines, application instructions. Also remove "To be considered for this position, please submit an application..." etc. Also remove "Search Firm Representatives", "FINRA is an Equal Opportunity Employer", etc. Also remove "Important Information" about code of conduct? That's legal/boilerplate; we should remove. Also remove "©2026 FINRA..." etc.
We need to preserve substantive info: responsibilities, requirements, qualifications, skills, benefits, pay, schedule.
We need to decide sections: About the role (maybe a brief summary), Responsibilities, Requirements (education/experience), Qualifications (maybe same as requirements?), Skills, Benefits, Pay, Schedule.
We must not create sections with filler like "commensurate with experience". We have actual pay ranges per location, so we can include Pay section with those ranges.
Schedule: mention hybrid work environment, hours may extend beyond normal business hours, 24-hour operating environment, may require shifts that include overnight coverage, travel as necessary.
Benefits: list health, dental, vision insurance, basic life, AD&D, supplemental life, spouse/domestic partner life, short- and long-term disability, long-term care, business travel accident, disability and legal, 401(k) with company match, additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, adoption assistance, backup family care, surrogacy benefits, employee assistance, wellness programs, time off: 15-25 PTO, 5 personal days, 9 sick days, two volunteer service days, other paid leave (military, jury, bereavement, voting, care of family member after 90 days, childbirth/parental after 90 days), nine paid holidays.
We need to ensure we don't include duplicated lines.
We need to output only HTML fragment, no or , no markdown fences.
Let's craft.
First, maybe an About the role section: a brief paragraph summarizing role: Director of Business Operations in Transparency Services, member of leadership team, responsible for establishing/executing short- to mid-term operational plans, advising senior leaders on regulatory issues, leading real-time overnight response, managing team, etc.
Then Responsibilities: list bullet points.
We need to avoid duplication: many responsibilities repeated. We'll consolidate unique responsibilities.
Let's extract unique responsibilities:
- Establishing and executing short- to mid-term operational plans that drive measurable results across the sub-function.
- Advising senior leaders on high-impact and sensitive regulatory issues.
- Contributing to development and implementation of annual and longer-term risk management strategy.
- Operating in real-time overnight market facing role independently, interacting with trading firms, ATS, technology providers, regulators, influencing external financial institutions and other regulators on new concepts, practices, procedures.
- Managing a team of other managers and/or experienced individual contributors; accountable for meaningful career development conversations and regular coaching and feedback.
- Leading FINRA's real-time overnight response to market halts, trade breaks, and other extraordinary market conditions for OTC 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, compliance staff at participant firms; directing issues to appropriate internal and external parties as needed.
- Establishing and overseeing Trade Reporting Facility (TRF) participant contact and reference data databases across Transparency Services to drive measurable accuracy and operational improvements.
- Advising and influencing Transparency Services Operations, Market Regulation, and OGC to identify and resolve real-time issues affecting participant firms; influencing external financial institutions and other regulators on new concepts, practices, procedures.
- Identifying and escalating situations that may present significant regulatory risks; developing elevated risk mitigation plans to minimize future potential risks; contributing to development and implementation of annual and longer-term risk management strategy.
- Directing staff in review and analysis of alerts and regulatory intelligence from various sources; drawing on mastery-level knowledge of industry practices to optimize investigative processes and drive function-wide impact.
- Demonstrates FINRA values; collaborates in-person and virtually to further FINRA’s mission of investor protection and market integrity.
- 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.
That's a good list.
Now Requirements/Education/Experience:
- Bachelor’s degree in Finance, Economics, Business, or related field.
- 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 OTC 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, with mastery-level knowledge of industry practices.
We could split into Requirements (education/experience) and Qualifications/Skills. But we can combine.
The instruction: Use headings for About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule. We need to include sections only when posting has real specific content. We have content for all.
We'll create:
About the role
...
Responsibilities
- ... ...
Requirements
- ... ...
Qualifications
maybe same as Requirements? Could be skills. But we can put Qualifications as expert knowledge etc. However to avoid duplication, we could put Qualifications as the expert knowledge and familiarity items, and Skills as proficiency in directing investigative workflows etc. But we need to ensure not to repeat same content. Let's define: Requirements: education, years experience, supervising experience. Qualifications: expert knowledge of equity market structure, familiarity with TRFs, demonstrated experience leading real-time market operations, proven ability to manage managers, strong risk identification, experience advising cross-functional stakeholders. Skills: proficiency in directing investigative/surveillance workflows, mastery-level knowledge of industry practices. But there is overlap. However we can still separate. Alternatively we could combine Qualifications and Skills into one section, but instruction says we can have both if content exists. We'll try to allocate distinct content. Let's list: Requirements (education/experience): - Bachelor’s degree in Finance, Economics, Business, or related field. - 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. Qualifications (knowledge/experience): - Expert knowledge of equity market structure, including OTC 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. Skills: - 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. That seems reasonable. Now Benefits: list as bullet points. Pay: Provide salary ranges per location. We need to include them as a list maybe. Schedule: hybrid work environment, hours may extend beyond normal business hours, 24-hour operating environment may require shifts that include overnight coverage, travel as necessary. We must not include boilerplate like "To be considered for this position..." etc. Now produce HTML. Let's craft. We'll need to escape any special characters? Not needed. We'll produce:About the role
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. The role advises senior leaders on high-impact and sensitive regulatory issues, contributes to annual and longer‑term risk‑management strategy, leads FINRA’s real‑time overnight response to market halts, trade breaks, and extraordinary market conditions for OTC trading in exchange‑listed securities, and manages a team of managers and experienced individual contributors, providing career development, coaching, and feedback.
Responsibilities
- Establish and execute short‑ to mid‑term operational plans that drive measurable results across Transparency Services.
- Advise senior leaders on high‑impact and sensitive regulatory issues.
- Contribute to the development and implementation of annual and longer‑term risk‑management strategy.
- Operate in a real‑time overnight market‑facing role, interacting with trading firms, ATS, technology providers, and regulators, and influencing external financial institutions and other regulators on new concepts, practices, and procedures.
- Manage a team of other managers and/or experienced individual contributors; ensure meaningful career development conversations and regular coaching and feedback.
- Lead FINRA’s real‑time overnight response to market halts, trade breaks, and other extraordinary market conditions for OTC trading in exchange‑listed securities; contribute to short‑ to mid‑term operational plans and risk‑management strategy.
- Field and resolve real‑time inquiries from trading, operations, and compliance staff at participant firms; direct issues to appropriate internal and external parties as needed.
- Establish and oversee Trade Reporting Facility (TRF) participant contact and reference data databases to drive measurable accuracy and operational improvements.
- Advise and influence Transparency Services Operations, Market Regulation, and OGC to identify and resolve real‑time issues affecting participant firms; influence external financial institutions and other regulators on new concepts, practices, and procedures.
- Identify and escalate situations that may present significant regulatory risks; develop elevated risk‑mitigation plans to minimize future potential risks; contribute to annual and longer‑term risk‑management strategy.
- Direct staff in the review and analysis of alerts and regulatory intelligence from internal sources, regulatory tips, customer complaints, firm filings, and referrals from other regulators