Director, EFS Strategic Initiatives

Essential Job Functions:

• Oversees the day-to-day centralized operational functions for EFS.
• Serves as a trusted advisor to the Chief of Staff and EFS leaders. Effectively communicates and make decisions on behalf of the Chief of Staff as appropriate.
• Leads strategic cross-functional projects and initiatives that advance departmental operations in support of FINRAs strategic goals. Maintains accountability for tracking progress reporting and timely delivery to the Chief of Staff and senior leadership. Provides thought leadership and ensures alignment of cross-program efforts with the strategic vision and broader objectives of EFS.
• Understands triages and addresses a wide range of complex and often novel operational matters. Contributes knowledge conducts background analysis and provides recommendations for resolution.
• Enhances collaboration by partnering with appropriate stakeholders to remove obstacles and drive decision making in support of EFS and FINRA strategic goals. Key areas of engagement include strategic partnership challenging the status quo and escalating risks and issues.
• Leads engagement with key internal stakeholders including Finance Office of General Counsel/Oversight and Compliance Internal Audit and People Solutions to ensure business initiatives are supported. Additionally serves as a central resource for EFS including but not limited to the following areas:

• Budget and Headcount Management: Oversees EFS budget and expense management functions including the development and tracking of operational budgets analysis of budget variances headcount and resource allocations and research and implementation of cost savings measures to ensure budget spend is aligned with EFS and FINRA strategic goals.
• Communications Culture Meetings and Events: Facilitates regular department meetings including planning and execution of conference agendas leadership meetings and department-wide events. Creates communications and materials for executive/senior management board presentations and departmental audiences.
• Policies and Procedures: Oversees the development and maintenance of departmental procedures relating to operational efficiency and effectiveness in collaboration with functional leaders.
• Records and Information Management: Leads EFS records management including department-wide compliance with FINRA Information Privacy and Protection Policy serving as department information owner and participating in FINRA-wide Records Management Board.
• Training and Development: Coordinates training initiatives for the department with internal FINRA and external resources; collaborates closely with the Chief of Staff and senior leadership team to develop new training curriculum and implement cost-effective delivery methods.

• Drives operational efficiency initiatives in the above-listed areas identifying process improvements and implementing solutions.
• Demonstration of FINRAs values.
• Collaboration both in-person and virtually in furtherance of FINRAs mission of investor protection and market integrity.

Other Responsibilities:

• Other duties and special projects as assigned.

Education/Experience Requirements:

• Bachelors degree and a minimum of ten (10) years experience in the financial services industry or regulation at FINRA or other financial services regulator in positions of increasing responsibilities; or an equivalent combination of education and experience.

• Advanced degree preferred.

• Experience managing diverse operational functions including staffing budgeting and executing high-level meetings/events preferred. Direct experience in driving organizational change and operational excellence.

• Direct experience working with senior stakeholders across different business functions.

• Direct experience writing communications and presentations for leadership and non-leadership audiences.

• Proven record of making timely risk-based decisions impacting the department.

Skills Requirements:

• Advanced knowledge and technical skills related to project management including ability to manage multiple complex projects concurrently adapt to changing priorities and execute against tight deadlines in multiple areas with varying requirements.

• Advanced verbal written and organizational skills.

• Strong oral and written communication skills with an ability to effectively articulate matters with a high degree of complexity across teams and organizations.

• Strong collaborator and team builder with excellent interpersonal skills that can engage and influence all levels of leadership.

• Advanced critical thinking research problem-solving and analytical skills.

• Strong attention to detail and ability to maintain confidentiality.

• Extensive knowledge and understanding of organizational issues and challenges.

Working Conditions:

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

• Work environment includes high productivity expectations and tight deadlines.

• Extended hours and overnight travel as required.

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 addition to location actual compensation is based on various factors including but not limited to the candidates skill set level of experience education and market considerations.

Los Angeles CA: Minimum Salary $123175 Maximum Salary $184762

San Francisco CA: Minimum Salary $129358 Maximum Salary $194037

CO/FL/TX: Minimum Salary $134400 Maximum Salary $260400

IL/PA: Minimum Salary $147600 Maximum Salary $286500

MA/MD/VA/Washington DC: Minimum Salary $154400 Maximum Salary $299600

NY/NJ: Minimum Salary $154400 Maximum Salary $312600

#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.

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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

FINRAs 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 Codes investment and securities account restrictions and new employees must comply with those investment restrictionsincluding disposing of any security issued by a company on FINRAs Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentby 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 FINRAs Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the companys 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.

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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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