The Director, External Strategic Engagements, is responsible for supporting the Office of Strategic Engagement (OSE) in providing thought leadership and guidance for Member Supervision's (MS) external engagements and communication strategy. Additionally, this role leads a team of subject matter experts and is responsible for fostering positive relationships with various stakeholders, to help FINRA engage and proactively share information, furthering FINRA's mission of investor protection and market integrity. The Director also supports MS' engagement in FINRA regulatory initiatives and partnership with Member Relations and Education (MRE) and the Office of General Counsel (OGC).
Essential Job Functions:- Manages strategic analysis regarding Member Supervision's relationships and communications with member firms and the investing public, including cultivating and maintaining internal and external relationships, and collaborating on events and participation for FINRA.
- Executes, in alignment with Member Relations and Education (MRE) and Corporate Communications, on strategy and messaging for Member Supervision's external communications content, and strategic objectives at FINRA conferences, firm roundtables, and firm committee meetings.
- Responsible for the external event review analysis process, to ensure consistent and thorough review of opportunities, and alignment with FINRA's mission.
- Responsible for the curation, development, update, and use of talking points and briefing materials on key regulatory topics for Member Supervision leadership, including the Executive Vice President, for external-facing speaking engagements.
- Partners with OSE leaders and other key FINRA stakeholders on defining key data points and metrics, utilizing information to inform future planning, and driving improved engagement and effectiveness.
- Oversees the development, methodology, and process implementation to broaden the impact and benefits of Member Supervision leadership's engagement in external events.
- Identifies additional opportunities for strategic external engagements, including at industry conferences and meetings that support FINRA's mission.
- Develops and maintains effective relationships with leadership throughout the organization and with external constituents. Draws from diverse perspectives of key stakeholders to drive decisions, resolve conflicts, and influence outcomes.
- Utilizes subject matter expertise, along with broad network of relationships, to proactively identify regulatory risks and issues that could impact Member Supervision as well as trends and patterns that require attention.
- Provides oversight of high complexity internal projects relating to interactions with FINRA leadership, MRE, OGC, FINRA Board of Governors and Advisory Committees, other FINRA departments, industry groups, member firms and other regulators.
Communications and Publications:- Partners with OSE leadership and teams within MS, MRE, OGC and Corporate Communications, in managing the team's relationships and interactions to provide information, talking points, collateral and other materials for MS.
- Supports OSE in the strategy, as well as process implementation, for materials prepared for the FINRA Board of Governors and Advisory Committees, other FINRA departments, and for the industry.
- Acts as a strategic thought partner and trusted advisor to OSE leadership, including providing operational support for administration of the strategic engagement and publications team, including achieving group goals, developing and analyzing performance metrics, and advising on process efficiencies.
- Represents OSE leaders' and Member Supervision's interests at meetings with internal and external constituents, FINRA Board of Governors and Advisory Committees, OGC, other FINRA departments, industry groups and other regulators.
- Oversees Member Supervision's communications to member firms. This includes:
- taking a strategic approach to determining when and which subjects/topics Member Supervision should address in communications;
- leading team in preparation of high quality, strategic written publications and guidance, including whitepapers, reports, regulatory guidance, alerts, compliance tools and other publications for member firms, as well as other audiences.
- developing metrics and reporting that reflect the guidance presented in publications and other guidance for member firms, including relevant findings and exceptions, trends, and patterns; and identifying and presenting creative, innovative, and sophisticated solutions and proposals for changes to existing publications, including guidance needed to address the constantly evolving securities industry.
Education/Experience Requirements: - Bachelor's Degree or an equivalent combination of education and experience required. Strong preference for a Master's or JD degree.
- 8+ years of securities, compliance or financial regulatory experience required.
- Advanced working knowledge of relevant FINRA, SEC, and SRO rules.
- Excellent leadership skills in cross-functional or matrixed arrangements, including the ability to interact effectively and in a positive manner with people from a variety of backgrounds in order to reach timely, informed decisions.
- Proven managerial and people leading skills, with ability to mentor, challenge, and develop a team of subject matter experts. Experience leading teams in transition highly desired.
- Strong collaborator and team builder, with excellent written and verbal communication, interpersonal, and presentation skills.
Skill Requirements:- Extremely strong writing skills are essential, as is attention to detail and the intellectual flexibility to work on projects addressing highly disparate subjects.
- Strong presentation skills.
- Ability to interact professionally and confidently with senior level management, and to represent FINRA with high-ranking officials at external regulators and member firms.
- Expert critical thinking, research, and analytical skills.
- Advanced organizational skills and proven experience managing projects.
- Consistently manages time effectively, completes assignments within budgeted timeframes and makes timely, informed decisions.
- Expert relationship building skills and ability to influence consensus.
For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the 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
CA: Minimum Salary $146,200, Maximum Salary $296,100
CO/HI/MN/VT*: Minimum Salary $127,300, Maximum Salary $246,600
IL*: Minimum Salary $139,800, Maximum Salary $271,400
Jersey City, NJ/NYC, NY: Minimum Salary $152,700, Maximum Salary $296,100
MA/WA: Minimum Salary $127,300, Maximum Salary $283,800
MD/Washington, DC: Minimum Salary $146,200, Maximum Salary $283,800
NJ: Minimum Salary $139,800, Maximum $296,100
NY: Minimum Salary $127,300, Maximum Salary $296,100
*Including positions performed outside the state but reporting to an office or manager in that state.
Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.
#LI-Hybrid
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 InformationFINRA'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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