Job Description:

FINRA’s Department of Enforcement (Enforcement) is tasked with investigating potential securities violations and, when warranted, bringing formal disciplinary actions against firms and their associated persons.

The Senior Operations Specialist provides strategic support to the Enforcement Operations team and management by leading a number of reporting, procedural and quality control projects for the Enforcement Department. The Senior Operations Specialist role is primarily to streamline operations and procedures, ensure timely responses to inquiries and oversights and develop and enhances reporting. The Senior Operations Specialist also supervises operations and/or support staff and mentors and trains new operational staff.

Essential Job Functions:

• Update and develop departmental procedures and manuals with the Operations team and management, as well as the Counsel to the Head of Enforcement.


• Provide project management services to Enforcement’s senior leadership team (and their delegates) on various departmental or enterprise-wide initiatives.


• Conduct Quality Assurance (QA) reviews with minimal supervision. Review and analyze programmatic areas, independently demonstrating responsibility and expertise primarily through analysis and presentation of operational-based quality standards. Proactively identify and escalate notable trends in workflow or operations to increase departmental efficiency and effectiveness.


• Assist with oversights conducted by the SEC and other regulatory agencies, by gathering documentation, identifying and coordinating relevant staff and their information. Attend meetings with other regulatory agencies to discuss oversight requests and responsive production.


• Liaise with attorney and investigative teams to ensure productions are made timely and accurately and provide guidance, when needed.


• Liaise with Internal Audit on program inspections and coordinate Enforcement responses with attorney and investigative teams.


• Assist with Regulatory Liaison responsibilities in guiding staff in responding to regulatory and law enforcement requests for information. Discuss scope of requests for information with other regulatory and law enforcement agencies.


• Oversee, update and develop general Operations reporting and detailed analysis to meet data and information requests. Prepare and present reports relating to Enforcement statistics, Regulatory Service Agreement client business, and industry activities and trends.


• Train Enforcement staff on project-based work, particularly relating to updated procedures and best practices, as needed.


• Maintain a high-level understanding of Enforcement’s subject matter, systems, and procedures.


• Support the Enforcement Records Managers in ensuring the department's records procedures are effective and assists staff in complying with both FINRA and the department's records procedures correctly. Lead and oversee Records Management projects assigned by Enforcement Records Managers.


• Supervise staff. Write performance evaluations and make recommendations on promotions, development needs, salary increases, and incentive compensation.


• Monitors work assignments, productivity and work quality.


• Train and designate work assignments that support Enforcement’s operations and the departmental goals. Designate work assignments to promote efficiency and create uniform workloads, as needed. Oversee the training of staff to ensure consistency and the ability of staff to support each other.

Other Responsibilities:

• Ensure all assigned activities are completed according to prescribed policies and standards.


• Report on status of assigned tasks or projects.


• Other special projects, as required.

Education/Experience Requirements:

• Bachelor’s degree and a minimum of seven years of relevant experience. Law degree and experience in a regulatory or legal environment strongly preferred but not required.


• Team and staff management experience is preferred.


• Expert relationship building skills.


• Strong written and verbal communication skills.


• Keen organizational skills with exceptional attention to detail.


• Ability to work quickly on multiple time-sensitive matters.


• Must function effectively in a team environment and work with others to meet deadlines.


• Demonstrated ability to communicate and interact at both senior and junior levels inside and outside the company.


• Fluency with MS Office applications such as Word, PowerPoint, and Excel required. Knowledge of electronic case management programs preferred.

Working Conditions:

• Work is normally performed in an office environment.


• Extended hours may be required.  


• Occasional travel and extended hours may be required.

Compensation Range for Colorado locations

Annual Salary: $84,300.00 - $151,900.00

#LI-Hybrid

To be considered for this position, please submit an application.

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.

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Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.

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.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

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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