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Senior Director, Legal Technology, OCLO

Company: Financial Industry Regulatory Authority, Inc.
Location: Rockville
Posted on: May 3, 2021

Job Description:

The Senior Director serves as the OCLO technology expert to provide critical leadership and strategic direction in the development and implementation of Office of Chief Legal Officer's (OCLO)'s strategic technology plan to ensure the ongoing ability of the office to achieve its business objectives effectively, efficiently and economically.

Essential Job Functions:

* Serve as a key member of the OCLO's management team to provide overall technology expertise. * Partner and collaborate with the Technology group on the technical strategy for next generation / emerging technologies in the Legal, Risk and Compliance industries. * As OCLO technology leader, responsible for identifying, recommending, and leading the successful implementation of technology-related activities for the OCLO including policies, plans, and procedures, stakeholder engagements, support, and operations of all systems and technology. * Renders operational and technical advice and provides expertise to the department for the development, organization, and on-going maintenance of technology plans and the development of new technology systems for the OCLO to identify and manage workflow, increase operational performance and efficiency, disaster recovery, develop key performance metrics, and generate periodic reports. * Monitors trends to identify need for training and outreach, or additional technology resources. * Leading and championing training and demonstrations of new technology systems across the organization. * Strategize with line of business within OCLO to identify and presents original, creative, innovative and sophisticated solutions and proposals to enhance the technology needs of the department.

* Oversees the development and execution of OCLO's technology plan: * Identify, evaluate, develop and implement strategic plans and setting timelines for evaluation, development, and deployment of all technical initiatives * Represents strategic goals and priorities across OCLO to provide a unified view of technology needs. * Leads the execution and management of technology strategy and solutions designed to achieve operational efficiency by partnering with relevant stakeholders throughout OCLO and across other business units, as appropriate, to assess and understand operational needs. * Key enabler of the OCLO organization by managing the balance between supporting short-term business needs in long-term company /business unit objectives. * Mitigates risk by following established procedures, spotting key errors and demonstrating strong ethical behavior. * Oversees data governance and model risk management programs to ensure data analytics and technology solutions remain optimal. * Owns the governance process to prioritize new opportunities, mandates and requests. * Manage technology performance, any new goals and operational processes driven by the leadership team. * Manage leadership team meetings, business unit reviews, investment planning, tech strategy reviews and any other technology cost center management needs.

* Responsible for high quality, proactive regulatory record management support with minimal supervision with the opportunity to collaborate across FINRA in furtherance of the department's technology solutions and efforts, work with OCLO leadership, experienced attorneys, and technology experts.

Other Responsibilities:

* Serve on internal and external committees, task forces, initiatives, and ad hoc special projects as requested. * Participates in ad hoc special projects and initiatives as requested. * Develops communications as needed for Chief Legal Officer and other senior management.

Education/Experience Requirements:

* Bachelor's degree in Business, Information Systems, or Computer Science, and a minimum of 15 years of relevant work experience in the development of technology solutions to improve effectiveness and efficiency, or equivalent combination of education and work experience. * Extensive corporate and packaged application knowledge in enterprise level organizations. * Experience planning, designing and implementing efficient business and system solutions for Legal, Risk, and Compliance business functions. * Demonstrated project management experience with exceptional organizational skills, with an ability to administer multiple complex assignments concurrently and execute against tight deadlines. * Excellent verbal and written communication skills and explain the technology strategy to diverse audiences; in particular, the ability to describe IT situations, alternatives and recommendations in readily understood non-technical language. * Strong leadership and people management skills, with demonstrated ability to lead global, multi-functional teams. * ITIL, Six Sigma or Agile development experience desired.

Working Conditions:

* Normal office conditions.

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.

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.

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

Keywords: Financial Industry Regulatory Authority, Inc., Rockville , Senior Director, Legal Technology, OCLO, Other , Rockville, Maryland

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