Senior Director - Technology - Rockville, MD at FINRA
Posted in Information Technology 30+ days ago.
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Location: Rockville, Maryland
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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.
The Senior Director is part of the senior management team of Technology, oversees a major program or project organization within Technology, and most often reports directly to a Vice President or Senior Vice President.
Essential Job Functions:
Process and Operations
- Manage separate teams focused on delivering high quality results within one or more major technology disciplines: strategy, software development, operations, engineering, development services, information security, and compliance.
- Working independently, establishes organizational policies, goals, objectives and strategies that drive to measurable results.
- Direct and coordinate organization's financial and budget activities to fund operations, maximize investments, and increase efficiency.
- Analyze information and evaluate results to choose the best solutions and solve problems.
- Serve on Program Leadership Teams, as necessary.
- Develop constructive and cooperative working relationships with peers both within and outside of Technology, and maintain them over time.
- Establish and maintain external relationships with strategic product / service vendors, FINRA clients / customers, FINRA regulators, industry forums (government & private councils, standards bodies, product forums, etc.), as appropriate.
- Establish, evolve and ensure compliance with standard practices and processes within the disciplines.
- Assist with adherence to technology policies and comply with all security controls.
- Ensure all work products meets /exceeds FINRA standards.
- Participate in periodic Disaster Recovery (DR), Business Continuity Planning (BCP) and Sarbanes Oxley (SOX) testing and reporting.
- Identify and hire resource/skills needed within their organization.
- Responsible for staff performance management and training.
- Coordinate assignment of subordinate staff.
- Bachelor's degree in Computer Science, Information Systems or related discipline with at least ten (10) years of related experience, or equivalent training and / or work experience; Master's degree and past Financial Services industry experience preferred.
- Minimum of 5 years of managing technical programs and projects including staff management of at least fifteen (15) resources and budget of at least $3 million.
- Knowledge of business, technology and management principles involved in strategic planning, organizational change management, resource allocation, human resources modeling, leadership technique, and coordination of people and resources.
- Subject Matter Expertise required in a minimum of one of the following disciplines, with substantial knowledge in remaining disciplines software development, operations, engineering, development services, information security, and compliance.
- Experience managing staff comprised of both employees and contractors.
- Demonstrated ability to manage several initiatives simultaneously and balance competing priorities.
- Past success contributing to strategic decisions for an organization, identifying investment tradeoffs, and delivering high quality solutions to customer needs.
- Outstanding communication, organization, time management, interpersonal and management skills.
- Excellent problem identification, analysis and solving skills.
- Excellent written and oral communication skills.
- Proven change agent who can improve and grow the capability of an organization; keen eye for hiring and motivating teams.
- Work is normally performed in an office environment.
Occasional travel and extended hours 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.
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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.
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.
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