Senior Director, RegOps Project Management Office Lead - Any FINRA Location at FINRA in New York, New York

Job Description:

The Senior Directors, RegOps Program Management Office Leads are professionals with a strong track record of leading a program management office, broad complex program and project management, process improvement, strategic business analysis, executive communication, and execution excellence. This role manages the RegOps PMO to provide direction, leadership, transparency, and support delivery across key RegOps initiatives, objectives, key results, and deliverables, in collaboration with the RegOps Chiefs of Staff, Technology and other key stakeholders.

These 2 roles are responsible for (1) communications regarding RegOps vision, objectives, key results, and progress; (2) executing a framework for RegOps governance, including driving agendas, facilitating forums, establishing best practice templates and structure for process documentation, roadmaps, workshops, and program / project reporting; (3) engaging with key stakeholders across RegOps in furtherance of FINRA’s alignment of its regulatory operations across Market Regulation, Member Supervision and Enforcement and (4) and managing the portfolio of RegOps initiatives and Program Management Office.

**There are 2 Openings for Senior Directors of RegOps - PMO**

Essential Job Functions:

• Facilitate / lead cross-functional program(s) / project(s) forums in support of RegOps goals.


• Manage RegOps PMO team and all deliverables across portfolios. Ensure the delivery of high-quality work products with strong attention to detail in line with industry best practices.


• Facilitate and lead communication strategy and planning with respect to RegOps PMO portfolio of initiatives.


• Refine and streamline RegOps governance forums, driving agenda and decisioning forward where necessary.


• Oversee day-to-day responsibilities (e.g. drafting narrative / materials / decks, best practice templates, status reporting materials, meeting agendas, etc.), to ensure initiatives are understood, on-track and will complete on-schedule and within budget while delivering business value.


• Determine based on RegOps goals and objectives, scope, initiatives, programs, and / or projects that should be supported / governed with the RegOps OpCo stakeholders.


• Lead initiation, planning, execution and adoption of best practices development across RegOps initiatives, programs and projects, recommending tools, templates and solutions to support all aspects of program management.


• Proactively anticipate and articulate cross-program / project risk(s), issues, and dependencies, and proactively work with stakeholders to remediate.


• Lead target operating model development including development of products, processes, and operational plans to support objectives and key results across initiatives.


• Design and present materials that effectively communicate current state process and technology challenges, opportunities for improvements and critical success factors across RegOps initiatives.


• Propose and develop senior management reporting and analytics to ensure initiatives are on-track and within budget and enable effective decision making by the RegOps Operating Committee.


• Collaborate with other teams across FINRA to problem-solve and drive decisions.


• Oversee complex assignments concurrently that require autonomy and independent judgment, leaning upon PMO subject management expertise and program management skills.


• Manage strategic team communications and communications channels (e.g. Team SharePoint site, communications about initiatives, emails to RegOps, etc.)


• Collaborate with business users, technical team, and other FINRA functions to ensure the successful completion of RegOps projects and processes. 


• Facilitate working groups, steering committees and other governance forums including driving agendas, materials, discussion, and documenting key decisions and action items.


• Communicate effectively via the demonstration of strong oral and writing skills with team members and other staff, including senior leadership teams.

Other Responsibilities:

• People leadership and management of RegOps Program Management staff, likely with one or more direct or indirect reports.


• Support reporting across RegOps initiatives including coordination with Technology PMO, Program Management resources across RegOps and other vendor resources.

Education/Experience Requirements:

• Bachelor’s degree in Business or Information Technology with a minimum of twelve years of related experience; or an equivalent combination of education and experience. 


• Program management experience for large complex cross-functional programs and projects (>$10M)


• Advanced degree and/or relevant industry certification(s) highly preferred (e.g., PRINCE or PMP)


• Demonstrated organizational skills, and the ability to multitask and work independently are required.


• Excellent verbal and written communication skills, particularly the ability to synthesize complex issues/scenarios into easy-to-understand concepts through "storytelling" and including making presentations to senior leadership.


• Must be proficient in Microsoft Office, especially Microsoft Word, Excel and PowerPoint.


• Experience using project management tools and skills to drive results.  


• Knowledge of data visualization tools (e.g., Tableau, Power BI, etc.).


• A client-focused mindset, with strong organizational and presentation skills. Strong stakeholder management and engagement skills.


• Strong analytical, critical thinking and decision-making skills.


• Design Thinking experience preferred.


• Experience with Agile/Iterative Development preferred


• Familiarity with business analysis and program management best practices.


• Experience with Cascade, JIRA, PowerBI, and Audit tooling preferred.

Working Conditions:

• Work is normally performed in an office environment. Use of desktop PC is required.


• Exciting, hands-on, challenging position and success-oriented work environment.


• Occasional travel may be required.


• Some extended hours may be required.

For work that is performed in CA, CO, New York, NY and WA, 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 $158,900, Maximum Salary $339,300

Colorado: Minimum Salary $144,500, Maximum Salary $282,700

New York, NY: Minimum Salary $173,500, Maximum Salary $339,300

Washington: Minimum Salary $144,500, Maximum Salary $325,200

#LI-Hybrid

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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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.

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