Senior Director, Office of Chief of Staff, OCLO

The Senior Director, Office of Chief of Staff, Offices of the Chief Legal Officer (OCLO) is a key member of the leadership team responsible for overseeing a wide variety of operational functions and activities to strengthen the development and execution of centralized support across the OCLO. The role is instrumental in advancing strategic initiatives supported by a thoughtful plan for unifying people, processes, and technologies to elevate operations. This role enables the senior leadership team to effectively execute against, and convey, the OCLO goals and strategic and operational priorities.

Essential Job Functions:

• Oversee or lead a variety of cross-functional initiatives and special projects to advance strategic priorities in support of organizational objectives. Establish project scope and timeline, define measures of success, and manage the team(s) through successful completion of the initiative(s).
• Work closely with OCLO executive and senior leadership to oversee the effective, efficient, and timely implementation of OCLO core functions.  Create and maintain reports, project plans and metrics to support and inform executive and senior leadership oversight of OCLO.
• Support development and implementation of OCLO’s organizational strategy, including staffing processes, talent development programs, compensation planning, and other organization-wide People Solutions initiatives and projects.  Monitor monthly, quarterly, and annual budgets pertaining to OCLO.
• Develop and oversee a multi-faceted strategic communication program, in alignment with OCLO goals and key objectives, to facilitate information sharing and drive employee engagement.
• Establish processes, procedures, standards, and key metrics for OCLO. Identify opportunities for streamlining and improving operations and lead efforts to implement change, as needed.
• Develop and maintain effective working relationships with all levels of management, gaining in-depth knowledge of business functions to inform the design and implementation of programs.
• Routinely bring together multiple senior-level parties with divergent perspectives and drive decisions, resolve conflicts, influence outcomes, and enable leader success.
• Understand, triage, and address a wide range of complex, and often novel matters. Adapt quickly to changing circumstances and respond to crises. Contribute operational expertise to executive and senior leadership.
• Serve as a key OCLO authority and liaison on projects and initiatives related to OCLO goals and objectives. Lead and participate in cross-functional working groups on behalf of OCLO. 
• Orchestrate and facilitate group events, including meeting agendas, logistics, and follow-up.

Education/Experience Requirements:

• Bachelor’s degree in business, communications, technology, or related field.  Minimum of ten years’ experience in the financial services industry or regulation at FINRA or other similarly situated organizations in positions of increasing responsibilities; or an equivalent combination of relevant education and experience.
• Minimum of five years supervisory experience required.
• Law degree, advanced business degree, or other graduate degree preferred.
• Strong collaborator and team builder, with excellent written and verbal communication, interpersonal, and presentation skills.
• Exceptional organizational skills, with an ability to administer multiple complex assignments concurrently and execute against tight deadlines in multiple areas with different requirements.
• Demonstrated record of acting independently to identify and address challenges, make risk-based decisions, seize opportunities, develop new initiatives, and strengthen existing programs.
• Strong leadership and people management skills, with proven experience driving large scale initiatives requiring process changes, project management and change management.
• Proven track record in leading strategic planning efforts that define and deliver measurable outcomes.
• Excellent analytical, critical thinking and decision-making skills.  Experience using productivity software and business intelligence tools for data analysis, visualization, and reporting.

Working Conditions:

• Hybrid work environment (remote/in office).
• Occasional travel and extended hours may be required.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the salary range for the corresponding location. 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 internal peer compensation comparisons.

CA: Minimum Salary $177,100, Maximum Salary $361,700

CO/HI/MN/VT*: Minimum Salary $154,100, Maximum Salary $301,400

IL*: Minimum Salary $169,400, Maximum Salary $331,900

Jersey City, NJ/NYC, NY: Minimum Salary $185,000, Maximum Salary $361,700

MA/WA: Minimum Salary $154,100, Maximum Salary $346,700

MD/Washington, DC: Minimum Salary $177,100, Maximum Salary $346,700

NJ State: Minimum Salary $169,400, Maximum $361,700

NY State: Minimum Salary $154,100, Maximum Salary $361,700

*Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

#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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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 application accommodations. 

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 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 application accommodations.

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws.

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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