Senior Director, Program Delivery

The Strategy, Data & Tech Senior Director Program Delivery Lead is a strategic leader responsible for establishing and executing the muti-year program and portfolio delivery strategy for RegOps. This role manages the Program Delivery team to deliver transformative Regulatory Operations initiatives, objectives, key results, and deliverables, in collaboration with the business sponsors, owners, subject matter experts, Technology, the Enterprise Strategy Group (ESG), and other key stakeholders.

This role is accountable for (1) establishing communications strategic vison regarding key initiatives’ vision and value, objectives, key results, and progress; (2) maintaining governance frameworks, driving decisions, and establishing best practices for enterprise program management; (3) engaging with key stakeholders across RegOps in furtherance of FINRA’s alignment of its regulatory operations across functions and (4) leading and managing the portfolio or Regulatory Operations initiatives and Program Delivery team.

Essential Job Functions:

• Direct and manage multiple senior-level program managers and individual contributors across the Program Delivery team. Facilitate and lead cross-functional program/project forums in support of Regulatory Operations and Management Committee goals. Provide strategic direction and leadership that ensures program delivery outcomes align with RegOps strategic priorities across multiple business functions (Examinations, Risk and Intelligence, Surveillance, Investigations, Enforcement).
• Facilitate and lead communication strategy and planning with respect to the Program Delivery team’s portfolio of initiatives. Refine and streamline governance frameworks and forums, driving agenda and decisioning forward where necessary. Execute day-to-day responsibilities (e.g., drafting narrative / materials / decks, best practice templates, status reporting materials, meeting agendas, QLR materials, etc.), to ensure initiatives are understood, on-track and will complete on schedule and within budget while delivering business value.
• Determine based on goals and objectives, scope, initiatives, programs, and / or projects that should be supported / governed with the Program Delivery team.
• Support management and others to inform stakeholders on key initiatives and processes.
• Lead initiation, planning, execution and adoption best practices development across key initiatives, programs and projects, recommending tools, templates, and solutions to support all aspects of program management and leveraging automated streamlined tooling wherever possible, including JIRA and PowerBI.
• Anticipate and articulate cross-program / project risk(s), issues, and dependencies, and proactively collaborate with stakeholders to remediate.
• Review cross-functional processes for optimization, ensure inventory is up to date and accurate and support process changes with data and technology prioritization.
• Create and present materials that effectively communicate current state process and business and technology challenges, opportunities for improvements and critical success factors across key initiatives. Propose and create senior management reporting and analytics to ensure initiatives are on-track and within budget and enable effective decision making by the governance forums (LT, ELT, QLR, etc.)
• Support business technology road-mapping for key initiatives
• Support and drive MC and board level reporting on key initiatives including mid-point check-ins and project closeout narratives.
• Collaborate with other teams across FINRA to problem-solve and drive decisions.
• Support 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 key stakeholders and governance forums)
• Collaborate with business users, technical team, and other FINRA functions to ensure the successful completion of key regulatory operations 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. Raise any issues, risks and dependencies related to initiative execution early and convey possible solutions for resolution.
• Ensure the delivery of high-quality work products with strong attention to detail in line with industry best practices.
• People leadership and management of Program Delivery staff, likely with four or more direct reports.

Education/Experience Requirements:

• Bachelor’s degree in Business or Information Technology or related field 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.

For work that is performed in Los Angeles and San Francisco, CA, CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. 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 market considerations.

Los Angeles, CA: Minimum Salary $208,000, Maximum Salary $312,000

San Francisco, CA: Minimum Salary $217,000, Maximum Salary $325,000

CO/FL/TX: Minimum Salary $158,000, Maximum Salary $308,900

IL/PA: Minimum Salary $173,600, Maximum Salary $340,200

MA/MD/VA/Washington, DC: Minimum Salary $181,500, Maximum Salary $355,400

NY/NJ: Minimum Salary $181,500, Maximum Salary $370,700

#LI-DNI

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

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. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, 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, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.

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, unless otherwise required by law (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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