Senior Director, Strategy

The Strategy, Data & Tech Senior Director Strategy Lead is a professional with a strong track record of leading strategic and capital planning, business case development, RegOps Goal, Objective, and Key Result development refinement, alignment to enterprise goals and objectives, and measurement, and business and technology road-mapping. This role manages the RegOps strategy team to provide direction, leadership, transparency, and support delivery across goals, objectives, key results, business process re-engineering and deliverables, in collaboration with the business sponsors, owners, subject matter experts, Technology, the Enterprise Finance Strategy Team and other key stakeholders for key investments. In addition, the Senior Director assists the head of Strategy, Data, and Technology in establishing the overall strategic priorities of the Department (RegOps) and
with the integration of Regulatory Operations priorities with the broader functions.


This role is responsible for (1) communications regarding goals, objectives, key results, value and outcomes; (2) maintaining and refining a framework for engagement with key business leads, facilitating forums, establishing best practice guidance and templates for business cases, roadmaps, workshops, and progress reporting; (3) engaging with key stakeholders across Regulatory Operations in furtherance of FINRA’s alignment of its regulatory operations across functions and with MC Goals (4) leading and managing the consolidated roadmap of priorities across Regulatory Operations, (5) cross-functional business process re-engineering in support of RegOps Strategy, and (6) strategic / capital planning for RegOps.

Essential Job Functions:

• Works closely with Senior Leadership Team to establish the annual strategic goals for the Department, conjunction with MC goals and through the annual planning process and track and report on progress.
• Drives forward-looking strategy formation and strategic planning excellence across Regulatory Operations through leadership in the goals process, cross-functional alignment, and progress tracking.
• Supports the head of Strategy, Data and technology on strategic, cross-program priorities that seek to advance Regulatory Operations in support of FINRA’s strategic goals. This includes: a) providing thought leadership; b) ensuring cross-program and Regulatory Operations-wide efforts are aligned with the strategic vision and broader goals; and c) holding the program delivery team accountable for timely and quality project management work.
• Provides a centralized portfolio-level view of the business and technology roadmap and 12–18 month priorities as well as consistent tracking mechanisms to inform the Senior Leadership Team on progression milestones, and success measures. Responsible for driving strategic and capital planning in line with goals, objectives and regulatory operations priorities.
• Manages a team of analysts responsible for the day-to-day development and management of Goals, Objectives, Key Results, Roadmaps, and overarching plans and serves as an escalation point when issues or problems arise.
• Works with the functional leaders in Regulatory Operations to assign appropriate resources to large-scale efforts.
• Serves as the authority and liaison to the functions on matters in all strategic goals, objectives, key results, business cases, capital planning deliverables, and roadmaps related to Department or MC goals and objectives.
• Review cross-functional processes for optimization, ensure inventory is up to date and accurate and support process changes with data and technology prioritization.
• Seeks to enhance collaboration by bringing the right stakeholders together to unblock hurdles and drive decision-making to support realizing Regulatory Operations and FINRA strategic goals. Areas of engagement include strategic partnership, challenging the status quo, and escalating risks and challenges.
• Partners with key stakeholders outside of Regulatory Operations including, Technology, Finance, People Solutions, the Enterprise Strategy Group, Enterprise Risk Management, etc. to ensure strategic alignment and effective collaboration as One FINRA.
• Lead a cultural shift from reactionary execution to strategic and visionary planning of key initiatives from idea stage through business case development, mid-point updates and closeout narratives.
• Engages and acts as liaison with SD Program Delivery to identify and implement the appropriate project management and progress tracking approach.

Education/Experience Requirements:

• Bachelor’s degree and a minimum of ten (10) years’ experience in the financial services industry or in financial services regulation; or an equivalent combination of education and experience.

• Advanced degree preferred.

• Certification in Project Management discipline preferred.

• Exceptional organizational skills, including a proven record of managing multiple complex projects and

• initiatives concurrently and executing against tight deadlines in multiple areas with different requirements.

• Experience making internal and external presentations to executive and senior level management.

• Substantial knowledge of, and experience with, the regulation and operation of U.S. broker-dealers, as well as familiarity with the broader landscape of financial regulation.

• Strong leader, collaborator, and team builder, with excellent written and verbal communication,

• interpersonal, and presentation skills.

• Strong ability to organize and deal effectively with people from a variety of backgrounds in order to reach

  timely, informed decisions.

• Proven record of acting independently in an unstructured environment to identify and address challenges,

  seize opportunities, develop new initiatives, improve processes and strengthen existing programs.

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 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.

Los Angeles, CA: Minimum Salary $206,000, Maximum Salary $309,000

San Francisco, CA: Minimum Salary $251,000, Maximum Salary $323,000

CO/FL/TX: Minimum Salary $158,000, Maximum Salary $308,900

IL/PA: Minimum Salary $173,600, Maximum Salary $340,200

MA/MD/VA/Washington, DC: Minimum Salary $181,500, Maximum Salary $355,400

NY/NJ: Minimum Salary $181,500, Maximum Salary $370,700

#LI-DNI

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

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 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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