- Financial Industry Regulatory Authority
- $159,800.00 -159,800.00/year*
The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Senior Director opening in Rockville, MD. To be considered for this position, please submit your resume through our career site at www.finra.org/careers - no phone calls, please.. Job Summary:. CAT (Consolidated Audit Trail) is a comprehensive system allowing regulators to efficiently and accurately track all activity throughout the U.S. markets in National Market System (NMS) securities. CAT is one of the largest data repositories globally, containing a complete record of all equities and options traded in the US and customer and account information for all US-based investors. CAT will be one of the largest data repositories globally, containing a complete record of all equities and options traded in the US.. The Senior Director of Technology reports to the FINRA CAT Chief Technology Officer (CTO) and serves as a senior technology leader responsible for identifying, recommending and leading the successful implementation of technology related activities for the CAT including policies, plans, and procedures, stakeholder engagements, software development, vendor agreements, support, and operations of all systems and technology, which support FINRA CAT LLC (or CAT). The volume and nature of data collected and stored by CAT further, including Personally Identifiable Information (PII), highlights the critical importance of a strong technology program.. Essential Job Functions:. Ensure successful coordination between the FINRA CAT, LLC, Plan Processors, CATNMS, LLC, the broker dealer community, and the FINRA technology team.. Manage the day-to-day technology operations of CAT, assessing and quantifying risks, and providing recommendations to mitigate risks.. Work closely with CAT leadership and the FINRA technology department to ensure delivery of CAT master plan through technology solutions and to deliver on technology roadmaps with a multiyear planning horizon.. Develop necessary policies, plans and procedures for the Plan Processors technology department that meets the Plan requirements including software development lifecycle, disaster recovery, change management, capacity plan, etc.. Manage complex technology program/projects which include oversight of business analysis, tracking and reporting, capacity planning, change management, and coordination of industry testing.. Partner with FINRA technology development leadership to ensure timely delivery of CAT technology, including both new development and maintenance and support. Outline CAT technology objectives and assess tradeoffs of budget, scope, schedule and risk. Evaluate, prioritize, and recommend technology solutions.. Ensure compliance with Reg SCI, including multi-region AWS disaster recovery and periodic Disaster Recovery (DR) and Business Continuity Planning (BCP) testing and reporting.. Manage/coordinate legal entity/account activities implemented by Kingland Systems.. Identify, evaluate, and implement new technologies in support of CAT.. Collaborate with CAT CISO team to ensure cyber security risk are fully mitigated.. Manage relationships with strategic partners and major technology vendors.. Ensure the Plan Processor's compliance with applicable laws, rules and regulations related to technology support and operations of the CAT System.. Manage the CAT technology budget and expense management functions including the development and submission of operational budgets, review of monthly expense reports, analysis of budget variances, preparation of financial forecasts, and / or research and implementation of cost savings measures.. Asserts critical leadership qualities to motivate staff and achieve results, builds teams, encourages teamwork, and effectively communicates with management and staff across FINRA CAT, LLC.. Constructively engages FINRA technology managers to identify administrative and delivery issues and problems and devises solutions that can be widely adopted.. Develop constructive and cooperative working relationships with peers both within and outside of Technology, and maintain them over time.. Establish, evolve and ensure compliance with standard practices and processes within the disciplines.. Adhere to technology policies and comply with all security controls.. Ensure all work products meets /exceeds FINRA CAT, LLC standards.. Qualifications. Education/Experience Requirements:. Advanced experience with program and project management, especially with large, complex systems involving internal and external stakeholders.. Advanced knowledge of a broad range of technologies, including cloud, hardware, operating systems, networking, commercial Off-the-shelf (COTS) software, and development methodologies and tools.. Relationship Management experience working with diversified client groups, with the ability to operate with individuals at all levels of the business.. Knowledge of and experience working with government and industry security standards frameworks commonly used in the financial services industry. Knowledge of and experience working with NMS Plan governance structures. Broad knowledge of financial service technology practices. Strong verbal and written communication skills. Exceptional judgment and leadership skills.. 10+ years of technology experience in the financial services industry.. 5+ years of demonstrated successful managerial experience.. Required Education/Certifications. Bachelor's degree, or equivalent certifications and experience in a related discipline.. Advanced certifications and degrees strongly preferred.. Working Conditions:. Normal office environment located in Rockville, Maryland.. Work outside of business hours and some travel may be required.. 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.. 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 accommodation help line at 240.###.####. Please note that this number is exclusively for inquiries regarding application accommodations.. In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, 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. 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.. 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.. 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.. 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.. The Financial Industry Regulatory Authority--FINRA--is dedicated to investor protection and market integrity. The company's highly trained ...
Associated topics: equity trading, expense, finance, finance director, financial controller, financial planning, financial services, invest, investor, tax
* The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.
Loading some great jobs for you...