Senior Director, Strategy

FINRA • Jersey City, NJ

4d • $158,000 - $370,700 • Onsite

About The Position

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.

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.
• 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.
• 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.
• 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.

Nice To Haves

• Advanced degree preferred.
• Certification in Project Management discipline preferred.

Responsibilities

• Manage the RegOps strategy team to provide direction, leadership, transparency, and support delivery across goals, objectives, key results, business process re-engineering and deliverables.
• Assist 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.
• Communicate regarding goals, objectives, key results, value and outcomes.
• Maintain and refine a framework for engagement with key business leads, facilitating forums, establishing best practice guidance and templates for business cases, roadmaps, workshops, and progress reporting.
• Engage with key stakeholders across Regulatory Operations in furtherance of FINRA’s alignment of its regulatory operations across functions and with MC Goals.
• Lead and manage the consolidated roadmap of priorities across Regulatory Operations.
• Oversee cross-functional business process re-engineering in support of RegOps Strategy.
• Manage strategic / capital planning for RegOps.
• Work closely with Senior Leadership Team to establish the annual strategic goals for the Department, in conjunction with MC goals and through the annual planning process and track and report on progress.
• Drive forward-looking strategy formation and strategic planning excellence across Regulatory Operations through leadership in the goals process, cross-functional alignment, and progress tracking.
• Support 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.
• Provide 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.
• Drive strategic and capital planning in line with goals, objectives and regulatory operations priorities.
• Manage a team of analysts responsible for the day-to-day development and management of Goals, Objectives, Key Results, Roadmaps, and overarching plans and serve as an escalation point when issues or problems arise.
• Work with the functional leaders in Regulatory Operations to assign appropriate resources to large-scale efforts.
• Serve 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.
• Enhance collaboration by bringing the right stakeholders together to unblock hurdles and drive decision-making to support realizing Regulatory Operations and FINRA strategic goals.
• Partner 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.
• Engage and act as liaison with SD Program Delivery to identify and implement the appropriate project management and progress tracking approach.

Benefits

• Comprehensive health, dental and vision insurance.
• 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 insurance.
• Immediate participation and vesting in a 401(k) plan with company match.
• Eligibility for participation in an additional FINRA-funded retirement contribution.
• Tuition reimbursement.
• Commuter benefits.
• Adoption assistance.
• Backup family care.
• Surrogacy benefits.
• Employee assistance.
• Wellness programs.
• 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).
• Two volunteer service days (based on full-time schedule).
• 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).
• Nine paid holidays.
• Discretionary bonus in addition to base pay.
• Overtime pay in accordance with federal, state, or local law (for non-exempt employees).

What This Job Offers

• Job Type: Full-time
• Career Level: Senior