Associate Director, Diversity, Inclusion & Workforce Compliance at FINRA in Rockville, Maryland

Job Description:

This Associate Director, Human Resources (HR) position is responsible for managing the day-to-day operations for the Diversity, Inclusion & Workforce Compliance function. This would include developing, recommending, and executing on strategic business plans for the function, and managing managing team resources (people and financial). They are required to exercise a high degree of independent judgment and decision making, which could have significant organizational impact. Of utmost importance is their ability to build and strengthen relationships at all levels of the business, and work collaboratively in determining solutions to complex business issues.

Essential Job Functions:

Functional Management

• Leads the design and execution of major programs within a function, ensuring that program elements align to the strategic priorities of the business and are aligned with the requisite policies and procedures of the organization as well as any applicable legislation and areas of compliance.

• Manages individuals and serves as the project team lead on various high impact programs and initiatives. Teams are often cross-functional, and the programs and initiatives serve and/or impact a significant subset of, if not the entire employee population.

• Establishes performance standards and metrics by which initiatives and programs should be measured to determine quality, employee impact, ROI, and overall team performance as it relates to client satisfaction.

• Serves as an active member for setting short and long term strategic direction for area of responsibility working in partnership with the senior HR leadership team.

• Leverages systems and technology (and makes recommendations for) as a means to increase efficiency and productivity of the function, as well as simplifying processes and programs for the employee population.

• Stays abreast of industry trends and activities through external networks and education to assess the viability of leveraging alternative ways of improving the function.

Relationship Management

• Develops and maintains effective working relationships with all levels of management so as to gain in-depth knowledge of the business, which will provide insight into the design and implementation of programs.

• Aligns HR and functional strategy to the goals and objectives of the business, and assesses the alignment through working with key stakeholders within the business.

• Collaborates with multiple functional areas within HR to align priorities and resources to ensure that goals and objectives across the team are met.

• Partners with teams outside of HR (i.e. Corporate Communications, Office of General Counsel, Technology, etc.), leveraging their expertise to ensure the effective design, development, and execution of programs and initiatives.

• Manages or coordinates external vendors to ensure the optimal use of company resources through the proposal and selection process, in addition to the ongoing assessment that performance and quality standards are being met.

Specifically, this position has primary responsibility for the development, support and continuous improvement of the following:

• Employee Resource Groups and other Inclusion Programs


• Diversity and Inclusion Education and Policy


• Worklife Programs (workplace flexibility, employee volunteer days, emergency backup care, etc.)


• Federal Contractor Compliance Programs (Affirmative Action Planning, Compliance Reporting)

Education/Experience Requirements:

• Bachelors degree with a minimum of seven years relevant experience


• Experience managing people or cross-functional teams


• In-depth project management skills


• Strong quantitative and qualitative analytical skills


• Proven ability to collaborate and influence to achieve outcomes


• Experience working with the level of Vice President and above


• Strong written and oral communication skills


• Effective presentation skills


• Advanced degree or relevant certification desirable.

Work Conditions:

• Normal office conditions.


• Extended hours and travel may be required.

To be considered for this position, please submit an application.

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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In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.

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.

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