Director, OCLO Operations

  • FINRA (Financial Industry Regulatory Authority) - Rockville, MD
  • Sep 01, 2022
Full time Finance Legal

Job Description

Reporting to the Senior Vice President and Chief of Staff/Deputy General Counsel, the Director of the Offices of Chief Legal Officer (OCLO) Operations provides expert advice to the senior leadership team of OCLO, including the Chief Legal Officer (CLO) and the Chief of Staff, on a full range of operational, project management, and personnel issues, and their associated communications. This role enables the senior leadership team to effectively execute against, and convey, the OCLO goals and strategic and operational priorities.

Essential Job Functions:

  • Act as a key advisor and “behind-the-scenes” utility for the Chief of Staff, trusted and able to act on behalf, and communicate the perspectives, of the Chief of Staff in a variety of circumstances in internal and external settings. Draw from perspectives throughout the organization, but always remain guided by the long-term strategic goals of the CLO and senior leadership team of OCLO.
  • Address a wide range of complex and often novel matters. Adapt quickly to changing circumstances and respond to crises. Contribute expert knowledge to background analysis and recommendations for use by the Chief of Staff and senior leadership team of OCLO.
  • Lead, or co-lead with the Chief of Staff, a variety of cross-functional and corporate-wide initiatives and special projects involving operations and personnel matters, and providing project management for high-profile projects, in addition to owning the scope, identifying measures of success, and managing the team(s) through successful completion of the initiative(s).
  • Act as a strategic thought partner and trusted advisor to the Chief of Staff and OCLO leadership team on a variety of topics. Provide advice and support on matters of significance, frequently sensitive or confidential in nature, related to the management and operations of OCLO, including organizational structure and hiring/staffing for key functions, budgeting, compensation, metrics, and operational matters.
  • Together with or on behalf of the Chief of Staff, represent OCLO on cross-organizational projects and initiatives related to OCLO operational goals and objectives.
  • Support organizational excellence through analysis of operational efficiency and effectiveness.
  • Draft talking points and create presentations for OCLO senior leadership team for internal and external use.
  • Orchestrate and facilitate group events, including meeting agendas, logistics, and follow-up.

Education/Experience Requirements:

  • Bachelor’s degree in business, communications, or related field and a minimum of eight years’ experience in the financial services industry or regulation at FINRA or other similarly situated organizations in positions of increasing responsibilities; or an equivalent combination of education and experience.
  • Law degree, advanced business degree, or other graduate degree preferred.
  • Legal writing experience strongly preferred.
  • Expert knowledge of, and experience with, the regulation and operation of the U.S. broker-dealer industry, as well as familiarity with the broader landscape of financial regulation.
  • 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.
  • Proven record of acting independently in an unstructured environment to identify and address challenges, make risk-based decisions, 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.

Working Conditions:

  • Work is normally performed in an office environment.
  • Occasional travel and extended hours may be required.


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 also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. 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.

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