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Lead Product Manager, Legal Technology, OCLO at Financial Industry Regulatory Authority, Inc.

Lead Product Manager, Legal Technology, OCLO

Financial Industry Regulatory Authority, Inc. Washington, DC (Onsite) Full-Time
The Lead Product Manager, Legal Technology, Office of the Chief Legal Officer (OCLO) leads product initiatives to provide innovative, practical, and cost-effective technology solutions to achieve OCLO's strategic goals and objectives and increase the efficiency and effectiveness of OCLO groups in fulfilling their core business functions. This role works with a high level of autonomy and discretion and requires excellent judgment and decision-making abilities.

Essential Job Functions:

* Identify opportunities to leverage technology to achieve OCLO strategic objectives in collaboration with OCLO offices and FINRA business units. Partner with business and technology sponsors to build successful business cases to fund the initiatives.
* Oversee and manage OCLO technology products, in collaboration with FINRA Technology, to ensure all aspects of the products are completed effectively within budget and schedule commitments. Define and facilitate the program governance structure and oversee reporting of project status and identification of risks, issues, and key decision points.
* Represent and collaborate with business units across the full project lifecycle. Oversee stakeholder engagement and communication, review and prioritization of business requirements, cross-functional user acceptance testing of selected solution(s), and development of change management plans for implementation and adoption.
* Lead efforts to onboard OCLO offices to FINRA's latest technology tools and platforms to increase the efficiency and timeliness of business operations and achieve strategic goals. Drive the adoption of advanced reporting and analytics tools to empower decision making.
* Collaborate with business stakeholders and technology counterparts to evaluate third-party solutions where appropriate. Lead vendor engagement efforts from selection through implementation. Oversee ongoing service delivery to ensure compliance with legal agreements and performance standards, in collaboration with FINRA Technology.
* Define and manage processes to align business and technology functions and increase efficiency and effectiveness of communication and information sharing.
* Represent OCLO on enterprise Technology initiatives, working groups, and ad hoc special projects.

Education/Experience Requirements:

* Bachelor's degree in Business Administration, Finance, Information Technology, or related field and a minimum of seven (7) years of related experience; or an equivalent combination of education and experience.
* Minimum of three (3) years in operations and complex project management required.
* Strong organizational skills, with an ability to administer multiple complex assignments concurrently and execute against tight deadlines.
* Experience with planning, designing, and implementing efficient business and system solutions, preferably for Legal, Risk, and Compliance business areas.
* Familiarity with advanced reporting and analytics tools.
* Excellent verbal and written communication skills.

Working Conditions:

* Work is normally performed in an office environment.
* Occasional travel and 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 of $111,800, Maximum of $220,900

Colorado: Minimum of $101,500, Maximum of $184,100

New York, NY: Minimum of $121,700, Maximum of $220,900

Washington St: Minimum of $101,500, Maximum of $211,700


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.

Please note: If the "Apply Now" button on a job board posting does not take you directly to the FINRA Careers site, enter into your browser to reach our site directly.

FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's accommodation help line at
. Please note that this number is exclusively for inquiries regarding application accommodations.

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.

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.

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.

©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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