Director, EFS Strategic Initiatives

Position Overview

The Director, EFS Strategic Operations role is a critical position supporting the Enterprise and Financial Solutions (EFS) department. This role is responsible for managing a portfolio of large-scale departmental operational projects and is accountable for tracking and progress reporting to the Chief of Staff. The Director identifies opportunities for streamlining and improving operations to maximize efficiency and effectiveness, providing strategic and operational leadership to facilitate the optimal running of the department and the services it provides to its stakeholders. The Director also works closely with the Chief of Staff and the senior leadership team to implement and maintain programs that facilitate EFS staff’s compliance with its obligations and manage programmatic risk.

Essential Job Functions

• Oversees the day-to-day centralized operational functions for EFS.
• Serves as a trusted advisor to the Chief of Staff and EFS leaders. Effectively communicates and makes decisions on behalf of the Chief of Staff as appropriate.
• Leads strategic, cross-functional projects and initiatives that advance departmental operations in support of FINRA’s strategic goals. Maintains accountability for tracking, progress reporting, and timely delivery to the Chief of Staff and senior leadership. Provides thought leadership and ensures alignment of cross-program efforts with the strategic vision and broader objectives of EFS.
• Understands, triages, and addresses a wide range of complex and often novel operational matters. Contributes knowledge, conducts background analysis, and provides recommendations for resolution.
• Enhances collaboration by partnering with appropriate stakeholders to remove obstacles and drive decision making in support of EFS and FINRA strategic goals. Key areas of engagement include strategic partnership, challenging the status quo, and escalating risks and issues.
• Leads engagement with key internal stakeholders including Finance, Office of General Counsel/Oversight and Compliance, Internal Audit, and People Solutions to ensure business initiatives are supported. Additionally serves as a central resource for EFS including, but not limited to, the following areas:
• Budget and Headcount Management: Oversees EFS budget and expense management functions, including the development and tracking of operational budgets, analysis of budget variances, headcount and resource allocations, and research and implementation of cost savings measures, to ensure budget spend is aligned with EFS and FINRA strategic goals.
• Communications, Culture, Meetings and Events: Facilitates regular department meetings, including planning and execution of conference agendas, leadership meetings, and department-wide events. Creates communications and materials for executive/senior management, board presentations, and departmental audiences.
• Policies and Procedures: Oversees the development and maintenance of departmental procedures relating to operational efficiency and effectiveness in collaboration with functional leaders.
• Records and Information Management: Leads EFS records management, including department-wide compliance with FINRA Information Privacy and Protection Policy, serving as department information owner, and participating in FINRA-wide Records Management Board.
• Training and Development: Coordinates training initiatives for the department with internal FINRA and external resources; collaborates closely with the Chief of Staff and senior leadership team to develop new training curriculum and implement cost-effective delivery methods.
• Drives operational efficiency initiatives in the above-listed areas, identifying process improvements, and implementing solutions.
• 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

• Other duties and special projects as assigned.

Education & Experience Requirements

• Bachelor’s degree and a minimum of ten (10) years’ experience in the financial services industry or regulation at FINRA or other financial services regulator in positions of increasing responsibilities; or an equivalent combination of education and experience.
• Advanced degree preferred.
• Experience managing diverse operational functions, including staffing, budgeting, and executing high-level meetings/events preferred. Direct experience in driving organizational change and operational excellence.
• Direct experience working with senior stakeholders across different business functions.
• Direct experience writing communications and presentations for leadership and non-leadership audiences.
• Proven record of making timely, risk-based decisions impacting the department.

Skills Requirements

• Advanced knowledge and technical skills related to project management, including ability to manage multiple complex projects concurrently, adapt to changing priorities, and execute against tight deadlines in multiple areas with varying requirements.
• Advanced verbal, written, and organizational skills.
• Strong oral and written communication skills, with an ability to effectively articulate matters with a high degree of complexity across teams and organizations.
• Strong collaborator and team builder with excellent interpersonal skills that can engage and influence all levels of leadership.
• Advanced critical thinking, research, problem-solving, and analytical skills.
• Strong attention to detail and ability to maintain confidentiality.
• Extensive knowledge and understanding of organizational issues and challenges.

Working Conditions

• Hybrid work environment, with defined in-person presence requirements.
• Work environment includes high productivity expectations and tight deadlines.
• Extended hours and overnight travel as required.

Benefits

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. 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, short‑ and long‑term disability, long‑term care, business travel accident, disability and legal coverage. Employees have 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 programs, and wellness programs.

Time Off and Paid Leave

FINRA encourages employees to focus on health and wellness in many ways, including 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). Employees also receive 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.

Equal Opportunity Employer

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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