Associate Director, Knowledge Management, OCLO

The Associate Director, Knowledge Management, Office of the Chief Legal Officer (OCLO) provides strategic, operational, and technical leadership of an enterprise-wide knowledge management system (KMS). The purpose of the KMS is to provide clear, consistent, timely and relevant information to staff across FINRA relating to regulatory policy. This role works with a high level of autonomy and discretion and requires excellent judgment, decision-making, and collaboration skills.

Essential Job Functions:

• Utilizes expertise and independence in judgment in developing content for the enhancement and maintenance of the enterprise-wide KMS and interfaces between operating departments and technology teams involved in executing this effort.
• Directs all aspects of project management involving planning, developing, organizing, and coordinating to ensure that the KMS multi product content and elements are integrated and documented.
• Develops plans for a continuously maintained portal with a practice-focused user experience that is rich in content.
• Leads, delivers, and assists with training and demonstrations of the KMS and new technology systems across the organization.
• Works closely with internal stakeholders in relevant operating departments and technology teams to develop and catalog information, formulate search strategies, identify data sources, consult on data curation and retrieval processes, procedures, and policies.
• Applies advanced proficiency in conducting research into matters of regulatory policy as necessary to maintain accuracy of content on the KMS and new technology systems and respond to questions.
• Regularly reviews and updates content to ensure design and functionality are retained, and user needs are continuously met.
• Maintains the KMS, sources data from relevant teams, catalogs data, coordinates identification of additional materials, and provides input on edits, organization, and format of content for clarity, flow, and integrity.
  • Guides the preparation and review of content in the KMS that may require sophisticated analyses in consultation with senior-level OGC attorneys and business unit experts.
  • Operates with independence in drafting updates to existing content and adding new content on key subject areas and gathers and incorporates views of operating department experts.

• Maintains and expands the taxonomy as needed or warranted to facilitate topical access to the KMS and ensure that taxonomy changes are reflected in the appropriate systems to ensure a richer user experience.
• Manages technical maintenance of the KMS in collaboration with FINRA Technology.  Monitors traffic in the KMS and reports systems usage and other key information.
• Demonstration of FINRA’s values.
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Other Responsibilities:

• Represents OCLO on enterprise initiatives, working groups, and ad hoc special projects.

• Develops communications as needed for senior management.

• Provides and implements suggestions to increase efficiency and effectiveness of office procedures.

Education/Experience Requirements:

• Bachelor’s degree in information systems, computer science, or related field and a minimum of 7 years of relevant work experience, or equivalent combination of education and relevant work experience. Law degree preferred but not required.

• Demonstrated content management or database management experience.

• Experience with design and operations of knowledge management systems/platforms preferred.

• Working knowledge of laws, rules, and regulations governing the securities industry preferred but not required.

• Strong project management skills required.

• Excellent organizational skills and oral and written communication skills.

• Excellent judgment, analytical, and interpersonal skills.

Working Conditions:

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

• Extended hours as needed.

For work that is performed in 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. 

CO/FL/TX: Minimum Salary $111,400, Maximum Salary $202,100

IL/PA: Minimum Salary $122,800, Maximum Salary $222,400
MA/MD/VA/Washington, DC: Minimum Salary $128,000, Maximum Salary $232,500

NY/NJ: Minimum Salary $128,000, Maximum Salary $242,600

#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

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