Job Details

Senior Director, Legal Technology, OCLO (R-002373)

Company name

FINRA.

Organization Type

In-House

Job Type

Legal Staff

Posted on

Jan 11, 2021

Years of Experience

Min 15 yrs required

Location

Washington, DC, United States

Industry

Legal
Practice Area
Information Technology >> Information Technology
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Profile

Job Summary:

The Senior Director serves as the OCLO technology expert to provide critical leadership and strategic direction in the development and implementation of Office of Chief Legal Officer’s (OCLO)’s strategic technology plan to ensure the ongoing ability of the office to achieve its business objectives effectively, efficiently and economically.

 

Essential Job Functions:

  • Serve as a key member of the OCLO’s management team to provide overall technology expertise.
  • Partner and collaborate with the Technology group on the technical strategy for next generation / emerging technologies in the Legal, Risk and Compliance industries.
  • As OCLO technology leader, responsible for identifying, recommending, and leading the successful implementation of technology-related activities for the OCLO including policies, plans, and procedures, stakeholder engagements, support, and operations of all systems and technology.
  • Renders operational and technical advice and provides expertise to the department for the development, organization, and on-going maintenance of technology plans and the development of new technology systems for the OCLO to identify and manage workflow, increase operational performance and efficiency, disaster recovery, develop key performance metrics, and generate periodic reports.
    • Monitors trends to identify need for training and outreach, or additional technology resources.
    • Leading and championing training and demonstrations of new technology systems across the organization.
    • Strategize with line of business within OCLO to identify and presents original, creative, innovative and sophisticated solutions and proposals to enhance the technology needs of the department.
  • Oversees the development and execution of OCLO’s technology plan:
    • Identify, evaluate, develop and implement strategic plans and setting timelines for evaluation, development, and deployment of all technical initiatives
    • Represents strategic goals and priorities across OCLO to provide a unified view of technology needs.
    • Leads the execution and management of technology strategy and solutions designed to achieve operational efficiency by partnering with relevant stakeholders throughout OCLO and across other business units, as appropriate, to assess and understand operational needs.
    • Key enabler of the OCLO organization by managing the balance between supporting short-term business needs in long-term company /business unit objectives.
    • Mitigates risk by following established procedures, spotting key errors and demonstrating strong ethical behavior.
    • Oversees data governance and model risk management programs to ensure data analytics and technology solutions remain optimal.
    • Owns the governance process to prioritize new opportunities, mandates and requests.
    • Manage technology performance, any new goals and operational processes driven by the leadership team.
    • Manage leadership team meetings, business unit reviews, investment planning, tech strategy reviews and any other technology cost center management needs.
  • Responsible for high quality, proactive regulatory record management support with minimal supervision with the opportunity to collaborate across FINRA in furtherance of the department’s technology solutions and efforts, work with OCLO leadership, experienced attorneys, and technology experts. 

 

Other Responsibilities:

  • Serve on internal and external committees, task forces, initiatives, and ad hoc special projects as requested.
  • Participates in ad hoc special projects and initiatives as requested.
  • Develops communications as needed for Chief Legal Officer and other senior management.

 

Education/Experience Requirements:

  • Bachelor's degree in Business, Information Systems, or Computer Science, and a minimum of 15 years of relevant work experience in the development of technology solutions to improve effectiveness and efficiency, or equivalent combination of education and work experience.
  • Extensive corporate and packaged application knowledge in enterprise level organizations.
  • Experience planning, designing and implementing efficient business and system solutions for Legal, Risk, and Compliance business functions.
  • Demonstrated project management experience with exceptional organizational skills, with an ability to administer multiple complex assignments concurrently and execute against tight deadlines.
  • Excellent verbal and written communication skills and explain the technology strategy to diverse audiences; in particular, the ability to describe IT situations, alternatives and recommendations in readily understood non-technical language.
  • Strong leadership and people management skills, with demonstrated ability to lead global, multi-functional teams.
  • ITIL, Six Sigma or Agile development experience desired.

 

Working Conditions:

  • Normal office conditions.

 

Company info

FINRA.

Company Profile

FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers. FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage. In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets. FINRA operates from Washington, DC, and New York, NY, with other offices around the country. Find out more about us and how we work—and view our current openings—at www.finra.org/careers.

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