Associate Director, OCLO Operations

The Associate Director of the Offices of Chief Legal Officer (OCLO) Operations performs a wide variety of operational functions and activities to elevate and enhance centralized support to CLO offices. This role enables the senior leadership team to effectively execute against, and convey, the OCLO goals and strategic and operational priorities. The Associate Director, OCLO Operations leads a variety of cross-functional and targeted projects in the advancement of OCLO strategic goals, operational efficiencies, and process improvements.

Essential Job Functions:

• Lead or co-lead a variety of cross-functional and corporate-wide initiatives and special projects within OCLO.  Establish project scope and timeline, define measures of success, and manage the team(s) through successful completion of the initiative(s).
• Support organizational excellence through analysis of operational efficiency and effectiveness.  Collaborate with OCLO business leaders to engage and synthesize feedback and direct work related to the initiatives.  Establish qualitative and quantitative measurements to inform continuous improvement effort.
• Support annual strategic planning process and quarterly learning reviews to assess attainment of business outcomes and key results.  
• Develop and maintain effective working relationships with leaders and staff throughout OCLO to facilitate collaboration and representation of multiple perspectives, guided by the long-term strategic goals of the CLO and the senior leadership team.
• Plan and lead change management efforts to ensure the successful adoption of new initiatives by internal and external stakeholders.
• Support OCLO staffing processes, compensation planning, and other organization-wide People Solutions initiatives and projects.
• Manage budget planning and financial management processes in partnership with Finance and budget owners. Track performance against financial targets and facilitate reporting within OCLO.
• Represent OCLO on cross-organizational projects and initiatives related to OCLO operational goals and objectives.
• Facilitate development of reporting and metrics to provide insight into department strategic and operational performance.
• Draft talking points and create presentations for OCLO senior leadership team for internal and external use.
• Orchestrate and facilitate group events, including meeting agendas, logistics, and follow-up.
• 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, communications, technology, or related field.  Minimum of eight 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.

• Law degree, advanced business degree, or other graduate degree preferred.

• Strong collaborator and team player, 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, develop new initiatives, and strengthen existing programs.

• Proven record of project management, process improvement and goal attainment skills, as well as producing high quality written work product.

• Strong experience using productivity software and business intelligence tools for data analysis, visualization, and reporting.

Working Conditions:

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

• Occasional travel and extended hours may be required.

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

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 deem