Vice President and Deputy Chief of Staff, Office of Chief Legal Officer

Overview 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 other departments 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. Responsibilities 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, including: (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; (3) developing and implementing OCLO’s organizational strategy; (4) developing more efficient processes and procedures; (5) representing OCLO senior leadership at meetings with internal and external parties. Establish processes, standards and key metrics for OCLO. Identify opportunities for further 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. Oversee the development and implementation of OCLO's strategic technology plan to support the needs and operational objectives of its offices. 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. Demonstrate FINRA’s values. Collaborate, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity. Education/Experience Requirements Bachelor’s degree, preferably with a major in a business, communications, information technology, or a related field, or equivalent experience. MBA, JD, or other graduate degree preferred. Minimum of ten (10) years professional experience in leadership, operations, or strategic roles in positions of increasing responsibility. Financial services or regulated industry experience preferred. Experience overseeing or participating in the implementation of strategic technology initiatives to enhance the efficiency and effectiveness of business operations. 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 the functions of the U.S. markets, the broker-dealer industry, and FINRA preferred, 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 work effectively with people from a variety of backgrounds to reach timely, informed decisions. Working Conditions Hybrid work environment, with defined in-person presence requirements. Occasional travel is required. Extended hours may be required. Salary and Benefits For work performed in CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, salary ranges are disclosed below by location: CO/FL/TX and IL/PA and MA/MD/VA/Washington, DC and NY/NJ. Salary ranges are minimum to maximum based on location and are influenced by factors including skill set, experience, education, and market considerations. CO/FL/TX: Minimum $197,600; Maximum $389,200 IL/PA: Minimum $197,600; Maximum $389,200 MA/MD/VA/Washington, DC: Minimum $197,600; Maximum $389,200 NY/NJ: Minimum $197,600; Maximum $389,200 FINRA provides comprehensive health, dental and vision insurance; 401(k) plan with employer match; and other wellness benefits, paid time off, holidays, and family leave in accordance with policy and law. Additional Information EEO statement: FINRA is an Equal Opportunity Employer. All qualified applicants receive consideration for employment without regard to race, color, religion, sex, national origin, age, disability, genetic information, military or veteran status, or any other protected status. FINRA complies with disability and veteran protections and offers accommodations during the application process. For accommodations, contact Employee Relations. Visit for more information. #J-18808-Ljbffr Financial Industry Regulatory Authority, Inc.