27 days old

Strategic Metrics and Reporting Director, Enforcement

Los Angeles, CA 90012
  • Job Code

FINRAs Department of Enforcement (Enforcement) is tasked with investigating potential securities violations and, when warranted, bringing formal disciplinary actions against firms and their associated persons.

The Strategic Metrics and Reporting Director (Director) is a senior manager with a strong track record of strategic business and data analysis, executive communication, leadership, metrics enablement and execution excellence. This role is a key member of Enforcements Operations team and will lead the Enforcements Metrics Strategy and Reporting initiatives and supervise experienced reporting personnel.


  • Exhibit a depth of knowledge of Enforcement regulatory programs and processes to help translate Enforcements strategic objectives into key metrics for leadership to track progress against. Partner with the business to identify, develop and maintain Key Performance Indicators (KPIs) and Key Risk Indicators (KRIs) to provide business insights and operational visibility.
  • Manage resources to develop and deliver metrics-based solutions, including dashboards and data visualizations for Enforcement.
  • Work to develop, implement and manage Enforcements metrics strategy and program.
  • Champion and lead the adoption of metrics across Regulatory Operations.
  • Maintain advanced to expert level knowledge of metrics and visualization best practices.
  • Lead, as a subject matter expert, enterprise-wide metrics projects for Enforcement. Develop and/or influence policies governing the creation and management of data needed for department metrics.
  • Execute day-to-day responsibilities (e.g. drafting materials, status reporting, facilitating cross department meetings, meeting agendas, etc.) to ensure initiatives are on-track and will complete on-schedule.
  • Create and present materials to executive and senior leaders, managers and staff that effectively communicate current state processes, opportunities for improvements and critical success factors for assigned projects. Collaborate with peers within Regulatory Operations to create deliverables.
  • Communicate effectively via the demonstration of strong oral and writing skills with team members and other staff.
  • Ensure the delivery of high-quality work products with strong attention to detail.
  • In coordination with Enforcements Strategic Technology Program and Training teams, manage communications and trainings related to data visualization products and services.


  • Direct Enforcements reporting, for FINRA and RSA customer work.
  • Develop and maintain operational and productivity reports, including new methods to analyze and communicate Enforcement trends.
  • Direct and oversee research reports for senior executives, relating to client business, and industry activities and trends.
  • Work closely with Enforcements senior management and management from other departments to calibrate and standardize reports.
  • Responsible for the delivery of accurate and succinct reports to a wide range of stakeholders, including but not limited to Enforcements senior leadership, the management committee, the Board, the SEC and RSA customers.


  • Supervise staff and discuss performance issues. Write staff performance evaluations and make recommendations on promotions, development needs, salary increases, and incentive compensation. Monitor work assignments, productivity and work quality of support staff. Designate work assignments to promote efficiency and creates uniform workloads, as needed. Oversee the training of staff to ensure consistency and the ability of staff to support each other.

Other Responsibilities:

  • Lead other departmental projects as necessary. Support complex assignments concurrently that require autonomy and independent judgment.
  • Help develop and maintain a positive and supportive work environment and culture.
  • Consider training requirements for Enforcement staff on project-based work, particularly relating to updated reports and best practices, as needed. Liaise with Enforcements training team in order to deliver such training.
  • Maintain an advanced-level understanding of Enforcements subject matter, systems, and procedures.

Education/Experience Requirements:

  • Bachelor's degree with a business, management information systems, or information technology concentration highly preferred.
  • Advanced degree and/or relevant industry certification(s) preferred.
  • Experience with working in the legal industry preferred.
  • Minimum of 8-10 years of related experience.
  • 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.
  • Knowledge of data visualization tools (i.e., Power BI, Tableau, etc.).
  • Experience using project management tools and skills to drive results.
  • A client-focused mindset, with strong organizational and presentation skills. Strong stakeholder management and engagement skills.
  • Strong analytical, critical thinking and decision-making skills.

Working Conditions:

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

Compensation Range for Colorado locations

Annual Salary: $115,900.00 - $224,700.00

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 www.finra.org/careers 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 FINRAs accommodation help line at 240.386.4865. 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 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

FINRAs 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 Codes investment and securities account restrictions, and new employees must comply with those investment restrictionsincluding disposing of any security issued by a company on FINRAs Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentby 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 FINRAs Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the companys 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 persons 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.

Posted: 2021-11-11 Expires: 2021-12-10
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Los Angeles, CA 90012

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