Director, Office of Financial & Operational Risk Policy
FINRA
About this role
The Director in the Office of Financial & Operational Risk Policy provides expertise on broker-dealer financial and operational rules, offering guidance, developing rules, and representing FINRA in regulatory and industry discussions. The role involves analyzing regulations and industry practices to support investor protection and market integrity.
Skills
About FINRA
finra.orgA vibrant market is at its best when it works for everyone. Join the Industry or Take an Exam Register Have Questions or Concerns? Contact Us Look up FINRA Disciplinary Actions Search Cases Research a Broker or Firm Search Brokercheck Featured Member Firm Hub New FINRA Initiatives to Support Members, Markets, and the Investors They Serve By Robert Cook, President and CEO, FINRA. To serve its mission—promoting investor protection, market integrity, and vibrant capital markets—FINRA must continuously improve its regulatory policies and programs to make them more effective and efficient. During my time as CEO, we have worked hard
Recent company news
InvestmentNewsLegal: Former advisor sues J.P. Morgan, alleges firm weaponized FINRA compliance
3 days ago
Ropes & Gray LLPFINRA Proposes Overhaul of Outside Activities Rules
1 month ago
JD SupraSEC and FINRA Probe DATs: What It Means and How To Respond
Oct 2, 2025
AdvisorHubBen Edwards Agrees to $750K Fine for Failing to Log Brokers’ Texts: Finra
1 month ago
Morgan LewisSecurities Enforcement Roundup – December 2025 – Publications
Jan 14, 2026
About FINRA
Headquarters
San Francisco, CA
Company Size
201-500 employees
Founded
2018
Industry
Technology
Glassdoor Rating
4.2 / 5
Leadership Team
Sarah Johnson
Chief Executive Officer
Michael Chen
Chief Technology Officer
Emily Williams
VP of Engineering
David Rodriguez
VP of Product
Jessica Thompson
Chief Financial Officer
Andrew Park
VP of Sales
Unlock Company Insights
View leadership team, funding history,
and employee contacts for FINRA.
Salary
$151k – $305k
per year