Program Manager, Regulatory Operations

The Principal, Regulatory Operations Program Management is a seasoned specialist responsible for supporting the Program Management function through advanced portfolio and project tracking, analysis, and reporting. This position provides central expertise in program documentation, risk identification, and best practices coordination across Regulatory Operations programs. Working with minimal oversight, this individual contributes to program and portfolio management excellence through sophisticated analysis of project status, resource utilization, and operational effectiveness metrics. This position serves as a subject matter expert on assigned programs and initiatives, coordinating information sharing and advancing operational efficiencies and process improvements within the work area.

Essential Job Functions:

• Serve as a top-level specialist on assigned programs and initiatives that advance operational efficiencies and process improvements within Regulatory Operations. Provide program expertise and counsel on best practices and process optimization.
• Support program and portfolio management activities by identifying and escalating operational risks, issues, and dependencies across programs and projects. Provide timely analysis of portfolio-level risks and emerging issues.
• Coordinate and advance program management best practices across the work area by serving as a front-line liaison with key business areas. Share and distribute key program information to support alignment on program management standards and practices.
• Develop Program Tracking & Reporting: Create and maintain program and project documentation, dashboards, and status reports using enterprise tools (JIRA, PowerBI, SharePoint Lists, Roadmapping tools). Provide regular project status updates identifying operational risks and issues consistently across programs.
• Manage Program Communications & Coordination: Schedule and facilitate program and project meetings; develop meeting agendas, maintain notes, and ensure thorough follow-up on action items. Serve as key liaison coordinating information sharing across work areas.
• Maintain & Advance Program Management Tools: Benchmark and maintain program management tracking tools and systems (JIRA, MIRO, PowerBI, SharePoint) to ensure enterprise tools are leveraged effectively for data visualization and business intelligence. Support implementation of best practices in tool utilization.
• Support Training & Development: Coach and train junior colleagues and team members on program management techniques, processes, and responsibilities. Support development of program management capability across the organization.
• Develop Senior Management Analytics: Create and prepare executive reporting on key initiatives, including portfolio status, resource utilization, success metrics, and performance data using enterprise tools and best practices.
• Demonstration of FINRA’s values.
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Education/Experience Requirements:

• Bachelor's degree in Business, Project Management, Information Technology, Computer Science, or related field
• 6-8+ years of professional experience in program/project management, process improvement, or business operations
• 3-4+ years of specialist or individual contributor experience in program management, portfolio management, or related functions
• Demonstrated experience managing and analyzing large-scale, complex programs and projects
• Experience working in matrixed environments coordinating across multiple business areas
• Proven track record of strong execution and delivery on project/program objectives

Required Knowledge & Skills:

• Extensive knowledge of program and project management practices and methodologies
• Advanced knowledge of program management tools and platforms (JIRA, PowerBI, SharePoint, Roadmapping tools)
• Strong understanding of regulatory compliance and risk management principles as they apply to programs
• Advanced data analysis and reporting capabilities using business intelligence tools
• Excellent written and verbal communication and presentation skills
• Strong organizational skills with ability to manage multiple concurrent initiatives
• Team collaboration and stakeholder coordination experience
• Experience with process improvement methodologies and operational efficiency optimization
• Preferred: Project Management Professional (PMP) certification or Certified Associate in Project Management (CAPM)
• Preferred: Experience in financial services or regulated industries

Work Conditions

• Hybrid work environment, with defined in-person presence requirements.

For work that is performed in Los Angeles and San Francisco, CA, CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, 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. 

 

Los Angeles, CA: Minimum Salary $134,000, Maximum Salary $200,000

San Francisco, CA: Minimum Salary $139,000, Maximum Salary $209,000

CO/FL/TX: Minimum Salary $114,200, Maximum Salary $207,200

IL/PA: Minimum Salary $125,900, Maximum Salary $228,000
MA/MD/VA/Washington, DC: Minimum Salary $131,200, Maximum Salary $238,300

NY/NJ: Minimum Salary $131,200, Maximum Salary $248,700

#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 of 15 days of paid time off, 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.

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 Employer

All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law.

FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s Employee Relations team at 240-386-4865 or by email at [email protected]. Please note that this process is exclusively for inquiries regarding accommodations in the application process.

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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