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Vice President, Strategic Operations - Any FINRA Locations

Company: Financial Industry Regulatory Authority
Location: Rockville
Posted on: September 23, 2022

Job Description:

Reporting to the Senior Vice President and Chief of Staff, the Vice President, Strategic Operations, is responsible for centrally overseeing a wide variety of strategic operational and advisory functions and activities for Market Regulation and Transparency Services (MRTS), and leading the execution of centralized support across MRTS regulatory programs. This role also will support MRTS in its partnership and collaboration across Regulatory Operations in furtherance of core corporate and departmental goals. This role is essential to MRTS executive and senior leadership to effectively execute against the mission, goals and strategic and operational priorities of the department and FINRA.

Essential Job Functions:

  • Provide leadership and manage team of MRTS senior staff, centralized within the Office of the Chief of Staff, each providing dedicated strategic operational and advisory support to groups within MRTS (specifically Quality of Markets, Options Regulation and Trading & Execution examinations). Ultimate responsibility for coordinating and managing this team's work, which includes, among other things (1) leading intra-departmental and inter-departmental initiatives, (2) coordinating and facilitating RSA customer and SEC relationships, (3) providing support in connection with key metrics, status reports, Board reporting, special projects, department procedures and RSA change requests, (4) developing and implementing the team's strategy, (5) developing more efficient processes and procedures, (6) partnering with Enforcement on complex/high-profile investigations, and (7) representing MRTS senior leadership at meetings with internal and external constituents.
  • Establish processes, standards and key metrics for centralized strategic operational and advisory support team. Identify opportunities for streamlining and improving operations and lead efforts to implement change, as needed. Create and maintain reports, project plans and metrics to support and inform executive and senior leadership oversight of MRTS.
  • Serve as the MRTS primary authority and liaison on projects and initiatives related to Regulatory Operations goals and objectives. On behalf of MRTS and MRTS senior leadership, lead and participate in cross-functional working groups to achieve Regulatory Operations integration, and enhance regulatory frameworks across Regulatory Operations by facilitating agreements and partnerships across Regulatory Operations.
  • Act on behalf of MRTS executive and senior leadership in variety of settings within MRTS, in collaboration with senior leaders in the Office of the CEO, Enforcement, Member Supervision, Technology, and FINRA-wide, and in external settings.
  • Serve as a key member of the MRTS senior management team. Develop and maintain effective relationships with senior leaders throughout the organization. Routinely bring together multiple senior-level stakeholders with divergent perspectives and drive decisions, resolve conflicts, influence outcomes and enable leader success.
  • Understand, triage and address a wide range of complex, and often novel matters. Adapt quickly to changing circumstances and respond to crises. Contribute expert knowledge to background analysis and recommendations for executive and senior leadership's use.
  • Manage multiple complex, cross-functional projects, in the advancement of the strategic direction of MRTS in support of FINRA's organizational goals and carrying a high level of departmental risk. Work closely with MRTS executive and senior leadership to oversee the effective, efficient and timely implementation of MRTS core functions, including surveillance, matter review and disposition, examinations, and all related regulatory functions.

    Education & Experience Requirements:

    • Bachelor's degree or equivalent, preferably with a major in a business or communications field. MBA, JD, or other graduate degree strongly preferred.
    • Minimum of ten years' experience in the financial services industry, at FINRA, or another financial services regulator, in positions of increasing responsibilities.
    • Strong collaborator and team builder, with excellent written and verbal communication, interpersonal, and presentation skills.
    • Exceptional organizational skills, with an ability to administer multiple complex assignments concurrently and execute against tight deadlines in multiple areas with different requirements.
    • Deep understanding of the MRTS department and its regulatory programs and operations.
    • Expert knowledge of, and experience with, the regulation and operation of the U.S. markets, FINRA and SEC rules, broker-dealer industry, as well as familiarity with the broader landscape of financial regulation.
    • Expert knowledge of, and experience with, the regulation and operation of self-regulatory organizations, including Regulatory Services Agreements, 17d-2, and applicable regulatory reporting requirements and legal constraints.
    • Proven record of acting independently in an unstructured environment to identify and address challenges, seize opportunities, develop new initiatives, and strengthen existing programs.
    • Proven record of project management, process improvement and goal attainment skills, as well as producing high quality written work product.
    • Excellent leadership skills, including the ability to organize and deal effectively with people from a variety of backgrounds in order to reach timely, informed decisions.

      Work Conditions:
      • Work is normally performed in an office environment.
      • Occasional travel is required.
      • Extended hours are 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.

        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 accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.

        Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. 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.

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

Keywords: Financial Industry Regulatory Authority, Rockville , Vice President, Strategic Operations - Any FINRA Locations, Executive , Rockville, Maryland

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