Director, Financial Planning & Analysis

The Director, Financial Planning and Analysis (FP&A) plays a critical leadership role in providing forward-thinking financial guidance and strategic partnership to senior executives across FINRA’s enterprise. This role combines financial expertise with exceptional business acumen to serve as a trusted advisor and executive-level business partner to key stakeholders, helping them understand and optimize financial performance, identify risks and opportunities, and drive informed, financially sound decision-making in alignment with FINRA’s overall finance strategy.

As a senior leader on the FP&A team, this position is responsible for developing and elevating the FP&A function, creating high-impact management reporting, ensuring robust forecasts, and providing strategic recommendations that enable data-driven decisions. This leader drives proactive financial analyses across complex business units within the FINRA Enterprise and works closely with the Vice President, FP&A on high-level strategic initiatives, serving as their alternate as needed.

The Director establishes strong relationships with executive leadership to reality-test business strategy, challenge assumptions, and ensure alignment of financial strategies with corporate objectives – particularly for newly consolidated groups requiring sophisticated financial partnership. This role also maintains Enterprise-wide visibility and accountability driving cross-functional strategy, consolidating insights across multiple business units, and ensuring cohesive financial planning that supports FINRA’s overall strategic objectives.

Enterprise-level Functions:

• Lead and deliver comprehensive Enterprise financial planning strategies and processes (across all business lines).
  • Develop BU-specific annual budgets, rolling forecasts, and long-range financial plans across business units, owning end-to-end infrastructure, processes, and communication of operating expenses, capital initiatives and revenues.
  • Define procedures for FP&A team that align with organizational fiscal objectives and business goals.
  • Oversee creation of executive-ready analyses, dashboards, and narratives for CFAO and senior leadership review.
• Monitor and report on financial KPIs and key business drivers; identify trends and areas for improvement; and provide recommendations to enhance operational efficiency and effectiveness across the enterprise.
• Build and evolve decision-enabling financial tools and models, leveraging data visualizations, storytelling, and emerging technology to enhance efficiency, scalability, and stakeholder financial literacy.
• Drive advanced financial modeling and scenario analysis supporting strategic initiatives, resource allocation, capital projects, and business case development including cost/benefit analysis and risk assessment.
• Partner closely across FP&A teams to ensure the department’s operating plans align with Enterprise strategic priorities and that senior leadership has timely visibility into performance.
• Establish frameworks and standards that ensure consistency, accuracy and strategic alignment across all business units.
• Develop and maintain enterprise financial models that integrate revenue, expense and capital projections across all business units, enabling comprehensive what-if analysis and strategic trade-off decisions.
• Oversee and develop FP&A team, managing operational aspects of workflow, performance, and compliance.

Aligned Business Functions:

• Partner closely with executive leadership in aligned businesses to provide financial insights, evaluate business performance, and guide data-driven decision-making to support budgets, forecasts and long-term growth
• Oversee monthly/quarterly management reporting and analysis for business segments to deliver insightful variance analysis against budget, forecast and prior year with strategic, business-driven commentary to senior leadership.
• Oversee planning process for the business units, including annual budget and rolling forecasts; and initiatives to streamline budgeting, forecasting and reporting processes.

Additional Responsibilities:

• Coach and develop team members, and conduct effective performance management and career development conversations.
• Other duties as assigned.
• 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:

• Bachelor's degree in Finance, Accounting, Economics, Business Administration, or related field, or equivalent combination of education and relevant work experience required.

• MBA or Master's degree in Finance/Accounting preferred. CPA, CFA, or other relevant professional certification optional.

• Minimum ten (10) years of progressive experience in financial planning & analysis (FP&A), corporate finance, financial services, or related field.

• Minimum five (5) years of people management experience required.

• Experience in financial services or regulated industry environment preferred.

Knowledge Requirements:

• Advanced proficiency in financial modeling, analysis, and forecasting techniques.

• Advanced skills in Excel, including complex formula, data analysis, and financial modeling.

• Proficiency in financial planning software (e.g., Hyperion, Anaplan, Adaptive Insights, Workday, Power BI) preferred.

• Deep knowledge of GAAP accounting principles and financial reporting.

Skills Requirements:

• Proven experience collaborating across multiple business units and finance teams, at all levels of leadership and staff.

• Extensive analytical and strategic thinking skills with the ability to distill and translate complex data into actionable insights and recommendations.

• High attention to detail and ability to balance strategic thinking and operational execution.

• Excellent written and verbal communication skills with ability to present financial information and data findings clearly for senior leadership.

• Proven ability to lead and oversee multiple projects simultaneously while ensuring quality and timeliness.

• Skilled people leader experienced in coaching and developing team members, providing timely feedback, and managing performance.

• Demonstrated ability to work independently, manage multiple priorities, adapt to changing priorities, and thrive in a fast-paced environment.

• Strong interpersonal skills, with ability to build relationships and influence stakeholders at all levels.

• High degree of integrity and discretion in handling sensitive financial information.

• Adaptability and continuous learning mindset to deepen subject matter expertise.

Work Conditions:

• Hybrid work environment, with defined in-person presence requirements.

• Extended hours and overnight travel as needed.

For work that is performed in CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, 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. 

 

CO/FL/TX: Minimum Salary $131,100, Maximum Salary $254,000

IL/PA: Minimum Salary $144,000, Maximum Salary $279,500

MA/MD/VA/Washington, DC: Minimum Salary $150,600, Maximum Salary $292,300

NY/NJ: Minimum Salary $150,600, Maximum Salary $305,000

#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 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 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.

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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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