Job details

Vice President and Deputy Chief of Staff, Office of Chief Legal Officer (Remote)

Reporting to the Senior Vice President and Chief of Staff, the Vice President and Deputy Chief of Staff is responsible for centrally overseeing a wide variety of operational functions and activities for OCLO and leading the development and execution of centralized support across OCLO. This role also will strengthen and support OCLO’s partnership and collaboration with Regulatory Operations in furtherance of core corporate and departmental goals. This role is essential to OCLO executive and senior leadership to effectively execute against the mission, goals and strategic and operational priorities of OCLO and FINRA.

Essential Job Functions:

Serve as a key OCLO authority and liaison on projects and initiatives related to OCLO goals and objectives. Lead and participate in cross-functional working groups on behalf of OCLO.
Coordinate and manage OCLO organizational programs, which include, among other things, (1) leading intra-departmental and inter-departmental initiatives, (2) providing support in connection with key metrics, status reports, Board reporting, special projects, and department procedures, (4) developing and implementing OCLO’s organizational strategy, (5) developing more efficient processes and procedures, and (7) representing OCLO senior leadership at meetings with internal and external parties.
Establish processes, standards and key metrics for OCLO. 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 OCLO.
Act on behalf of OCLO executive and senior leadership in a variety of settings within OCLO, in collaboration with senior leaders in the Office of the CEO, Finance, Regulatory Operations, CRED, People Solutions, Technology, and FINRA-wide, and in external settings.
Serve as a key member of the OCLO senior management team. Develop and maintain effective relationships with senior leaders throughout the organization. Routinely bring together multiple senior-level parties 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 operational expertise to executive and senior leadership.
Work closely with OCLO executive and senior leadership to oversee the effective, efficient and timely implementation of OCLO core functions.
Support OCLO compensation planning, staffing processes, and other organization-wide People Solutions cyclical initiatives and projects.

Education/Experience Requirements:

Bachelor’s degree, preferably with a major in a business or communications field, or equivalent experience. MBA, JD, or other graduate degree strongly preferred.
Minimum of 10 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.
Knowledge of, and experience with, the functions of the U.S. markets, the broker-dealer industry, FINRA and SEC rulemaking processes, as well as familiarity with the broader landscape of financial regulation.
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 to reach timely, informed decisions.

Working Conditions:

Work is normally performed in an office environment.
Occasional travel is required.
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 $290,000, Maximum Salary $320,000

Colorado: Minimum Salary $290,000, Maximum Salary $320,000

New York, NY: Minimum Salary $290,000, Maximum Salary $320,000

Washington: Minimum Salary $290,000, Maximum Salary $320,000

#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.

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.