Job Description

The Associate Director, MS Chief of Staff Programs in Member Supervision (MS) is a senior-level professional position providing substantial support to the department’s Deputy Chief of Staff and Chief of Staff/SVP on the implementation and advancement of a wide range of centralized essential operational and infrastructure functions including budgeting, staffing, reporting, metrics, and strategic analysis. The Associate Director will provide critical analysis and program support to enhance Member Supervision leaders’ ability to seamlessly run their regulatory programs while making strategic decisions that are cohesive across all groups. The Associate Director will collaborate with stakeholders across multiple lines of business on cross-departmental projects to support and promote MS strategy and effectiveness.

Essential Job Functions:

• Oversees and manages certain Chief of Staff programs, including those related to staffing of full-time headcount and contractors, the department budget and financial planning, reporting on all of the above, and various other key programs, as requested.
• Identifies opportunities for improving MS business operations related to areas of focus and makes recommendations to department senior leadership. Develops and implements strategies and programs that increase consistency and improve operational efficiency.
• Works autonomously on and directs team to support a wide range of department-wide initiatives as may be requested by the Deputy Chief of Staff, including reporting, metrics, and technology. Partners with People Solutions on delivery and execution of enterprise and department-specific initiatives and programs related to staffing; career development; diversity, equity, and inclusion; and other areas as determined by the Deputy Chief of Staff.
• Connector across department and FINRA to identify opportunities for collaboration and partnership, as well as ensuring awareness and knowledge of each group’s purpose and function, within our department and beyond.
• Assesses and identifies gaps and advises on strategic operational effectiveness and efficiencies through relationships, intelligence, and comprehensive knowledge of department regulatory programs.
• Engages with key internal stakeholders to ensure business operational initiatives and priorities are supported.
• Collaborates with peers across FINRA on opportunities for operational process improvements, consistency, and best practices related to FINRA’s mission, enterprise goals, and FINRA’s values.
• Recommends new opportunities for enhancing department and FINRA-wide policies, processes, and programs, and participates in the development and implementation of improvements and best practices.
• Manage, train, and develop direct reports in line with high departmental standards of excellence while ensuring proper prioritization of work.

Education/Experience Requirements:

• Bachelor’s degree and a minimum of ten (10) years of experience in the financial services industry or regulation at FINRA or other financial services regulator; or an equivalent combination of education and experience.
• Advanced degree preferred.
• Directly related experience in positions of increasing responsibilities. 
• Experience leading or managing a team preferred.
• Experience leading large cross-functional projects and collaborating across teams.

Knowledge & Skill Requirements:

• Proficient in collaboration tools (e.g., SharePoint Modern).
• Excellent oral and written communication skills, proofreading and presentation skills.
• Ability to interact with all levels of personnel within the organization.
• Advanced ability to recognize and understand the relationship and impact between different regulatory areas.
• Expert critical thinking, research, and analytical skills.
• Ability to manage multiple complex projects in a demanding environment.
• Resourceful and effective problem solver.
• Familiarity with digital communication tools, familiarity with SharePoint a plus.

Working Conditions:

• Hybrid work environment.
• Work environment includes high productivity expectations and tight deadlines.
• Extended hours and travel may be required.

For work that is performed in CA, Washington, DC, CO, HI, MN, VT, New York, NY, WA and MD the chart below outlines the proposed 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 .

California: Minimum Salary $124,300, Maximum Salary $235,500

Washington, DC/Maryland: Minimum Salary $124,300, Maximum Salary $225,700

Colorado/Hawaii/Minnesota/Vermont: Minimum Salary $108,200, Maximum Salary $196,200
New York, NY: Minimum Salary $129,800, Maximum Salary $235,500
Washington State: Minimum Salary $108,200, Maximum Salary $225,700

#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 into your browser to reach our site directly.

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   EmployeeRelations@finra.org.   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. 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 and many other benefits. 

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 (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 and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

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.

©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Job Tags

Holiday work, Permanent employment, Full time, Temporary work, For contractors, For subcontractor, Local area, Immediate start,

Similar Jobs