The Associate Director, Human Resources (HR) is responsible for managing the day-to-day operations for an HR function (Compensation, Benefits, Staffing, Training, Organizational Development, etc.). This would include developing, recommending, and executing on strategic business plans for the function, and managing or assisting with managing team resources (people and financial). They are required to exercise a high degree of independent judgment and decision making, which could have significant organizational impact. Of utmost importance is their ability to build and strengthen relationships at all levels of the business, and work collaboratively in determining solutions to complex business issues.

Essential Job Functions:

Functional Management

• Leads the design and execution of major programs within a function, ensuring that program elements align to the strategic priorities of the business and are aligned with the requisite policies and procedures of the organization as well as any applicable legislation and areas of compliance.

• Manages individuals or serves as the project team lead on various high impact programs and initiatives. Teams are often cross-functional, and the programs and initiatives serve and/or impact a significant subset of, if not the entire employee population.

• Establishes performance standards and metrics by which initiatives and programs should be measured to determine quality, employee impact, ROI, and overall team performance as it relates to client satisfaction.

• Serves as an active member for setting short and long term strategic direction for area of responsibility working as a member of, or in partnership with the senior HR leadership team.

• Leverages systems and technology (and makes recommendations for) as a means to increase efficiency and productivity of the function, as well as simplifying processes and programs for the employee population.

• Stays abreast of industry trends and activities through external networks and education to assess the viability of leveraging alternative ways of improving the function.

Relationship Management

• Develops and maintains effective working relationships with all levels of management so as to gain in-depth knowledge of the business, which will provide insight into the design and implementation of programs.

• Aligns HR and functional strategy to the goals and objectives of the business, and assesses the alignment through working with key stakeholders within the business.

• Collaborates with multiple functional areas within HR to align priorities and resources to ensure that goals and objectives across the team are met.

• Partners with teams outside of HR (i.e. Corporate Communications, Office of General Counsel, Technology, etc.), leveraging their expertise to ensure the effective design, development, and execution of programs and initiatives.

• Manages or coordinates external vendors to ensure the optimal use of company resources through the proposal and selection process, in addition to the ongoing assessment that performance and quality standards are being met.

• Demonstration of FINRA’s values.
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Education/Experience Requirements:

• Bachelors degree with a minimum of seven years relevant experience
• Experience managing people or cross-functional teams
• In-depth project management skills
• Strong quantitative and qualitative analytical skills
• Proven ability to collaborate and influence to achieve outcomes
• Experience working with the level of Vice President and above
• Strong written and oral communication skills
• Effective presentation skills
• Advanced degree or relevant certification desirable.

Work Conditions:

• Hybrid work environment, with defined in-person presence requirements.
• Extended hours and travel may be required.

For work that is performed in CO, CT, IL, PA, MA, MD, VA, WA, DC, NY, NJ, WA please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. 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 market considerations. 

Boston, MA: $131,200 - $238,300

Chicago, IL: $125,900 - $228,000

Denver, CO: $114,200 - $207,200

Jericho, NY: $131,200 - $238,300

Jersey City, NJ: $137,000- $248,700

Philadelphia, PA: $125,900 - $228,000

New York, NY: $137,000 - $248,700

Rockville, MD: $131,200 - $238,300

Tysons, VA: $131,200 - $238,300

Washington, DC: $131,200 - $238,300

Woodbridge, NJ: $131,200 - $238,300

Connecticut State: $114,200 - $248,700

Washington State: $114,200 - $248,700

#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.

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.

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 starting at 15 days of paid time off (increasing with years of service, up to 25 days), 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.

Washington state applicants: click here for required notice(s).

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 Employer

All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law.

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 accommodations in the application process.

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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