Principal Product Manager, Technology at FINRA in Rockville, Maryland

Job Description:

The Principal Product Manager is generally autonomous in their oversight and active management for a Technology program and/or practice area and most often reports directly to a Senior Director or Vice President.

Essential Job Functions:

Process and Operations

• Directly manage and/or influence 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.


• Focus on coordination with internal and external partners to deliver methods, procedures, practices, documents and results to increase reliability and usability of technology while optimizing costs and return on investment.


• Deliver results based upon FINRA annual goals, department goals and management requests.


• Direct and coordinate organization's financial and budget activities to fund operations, maximize investments, and increase efficiency for a program, project and/or practice area.


• Provides leadership in technology best practices


• Analyze information and evaluate results to choose the best solutions and solve problems.


• Support the evaluation of new technologies, techniques, and tools.


• Report status and issues to senior Technology management team.


• Work directly with outside vendors to negotiate services and product agreements


• Serve on as backup to more senior level management as needed.


• Develop constructive and cooperative working relationships with peers both within and outside of Technology, and maintain them over time.


• Contribute to the establishment, evolution and continued 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 and risks are effectively managed.


• Participate in periodic Disaster Recovery (DR), Business Continuity Planning (BCP) and Sarbanes Oxley (SOX) testing and reporting.

Resource Management

• Identify and hire resource/skills needed within their organization.


• Responsible for staff performance management and training.


• Coordinate assignment of subordinate staff.

Education/Experience Requirements:

• 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 technical project, program and / or practice area oversight.


• Past experience influencing decisions and building conscience across internal and external partners


• 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.


• Experience must include direct experience in one of the following areas: strategy, software development, operations, engineering, development services, information security, and / or compliance.


• Extensive knowledge of industry leading technology best practices including familiarity with technology methodologies including at least one of ISO-9000, ITIL, Agile and iterative.


• Excellent written and verbal technical communication skills.


• Demonstrated ability to develop effective working relationships and leverage those relationships to improve the quality of work products.


• Must be able to identify, evaluate and recommend processes, tools, technologies and / or products to meet business and budgetary requirements.


• Should be well organized, thorough, and able to handle competing priorities.


• Ability to maintain focus and develop proficiency in new skills rapidly.


• Ability to work in a fast paced environment.

Preferred (not required):

• Working experience with Microsoft Dynamics, SharePoint, and Learning Management Systems.


• Experience with managing a portfolio of product supporting multiple stakeholders across the enterprise.


• Knowledge and experience in legal industry and/or eDiscovery process and tool.

Work Conditions:

• Work is normally performed in an office environment.


• Occasional travel and extended hours may be required.

To be considered for this position, please submit an application.

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 accommodation help line at 240.386.4865. 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.

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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