Principal, EFS Strategic Initiatives at FINRA in Washington, Washington DC

Job Description:

The Principal, EFS Strategic Initiatives is a critical position supporting the Enterprise and Financial Solutions (EFS) department. This role is responsible for managing and supporting a portfolio of departmental projects and initiatives of various complexities related to the strategic priorities and goals of the department.

Essential Job Functions:

• Direct responsibility for a portfolio of projects and initiatives under Strategic Initiatives (including scope, resources required, timeliness and project dependencies) and ensuring timely progress on the portfolio of projects and quality project deliverables.


• Serves as primary point of contact and strategic partner for functional leaders and sponsors for respective projects and initiatives.


• Leads a cross-functional team responsible for the day-to-day execution of project and initiative deliverables.


• Tracks and maintains the status of the projects and initiatives under the Strategic Initiatives portfolio and reports on the project progression, milestones, and success measures to the EFS Senior Leadership Team.


• Serves as project manager for high complexity projects or special initiatives, as needed.


• Facilitates project prioritization discussions with functional leaders and support functions to determine annual project roadmap.


• Collaborates with functional leaders and sponsors to define the project scope and approach and identify resources from the functional areas (e.g., subject matter experts) to support the project work.


• Provides strategic direction and guidance to assigned resources from the functional areas and briefs project teams on project objectives, scope and deliverables.


• Ensures the timely resolution or mitigation of risks and issues that could impact project progression or completion and escalates risks and issues to the Director, EFS Strategic Initiatives.


• Develops change management plan for projects and initiatives under the Strategic Initiatives portfolio.


• Maintains expert knowledge in cross-functional, enterprise and departmental project management.  Maintains advanced level content and program operations knowledge.

Education/Experience Requirements:

• Bachelor’s degree in Business Administration, Management or related field and at least 5 years experience in Project Management, Process Management, Agile Delivery, or Management Consulting or a combination of education and experience required. Masters Degree or MBA preferred.


• Experience managing diverse operational functions, including staffing, budgeting and executing high-level meetings/events preferred.


• Strong capabilities working with senior stakeholders across different business functions.


• Strong capabilities writing communications and presentations for leadership and non-leadership audiences.


• Strong capabilities driving organizational change and operational excellence.


• Strong knowledge and technical skills related to project management, including ability to manage complex projects concurrently, adapt to changing priorities, and execute against tight deadlines in multiple areas with varying requirements.


• Strong verbal, written and organizational skills, with an ability to effectively articulate matters (oral, written & presentation) with a high degree of complexity across teams and organizations.


• Strong critical thinking, research and analytical skills.

Working Conditions:

• Work is normally performed in a hybrid work environment.


• Work environment includes high productivity expectations and tight deadlines.


• Extended hours may be required.


• Some travel may be required.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, 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.

CA: Minimum Salary $106,400, Maximum Salary $200,200

CO/HI/MN/VT*: Minimum Salary $92,500, Maximum Salary $166,800

IL*: Minimum Salary $101,800, Maximum Salary $183,900

Jersey City, NJ/NY, NY: Minimum Salary $111,000, Maximum Salary $200,200

MD/Washington, DC: Minimum Salary $106,400 Maximum Salary $191,800

WA: Minimum Salary $92,500, Maximum Salary $191,800

*Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

#LI-Hybrid

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

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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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 Employee Relations team at 240.386.4865 or by email at EmployeeRelations@finra.org. Please note that this process is exclusively for inquiries regarding application accommodations. 

Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, 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, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.

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, unless otherwise required by law (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.

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