FINRA

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

senior director

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 <ul><li>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.</li><li>Working independently, establishes organizational policies, goals, objectives and strategies that drive to measurable results.</li><li>Direct and coordinate organization's financial and budget activities to fund operations, maximize investments, and increase efficiency.</li><li>Analyze information and evaluate results to choose the best solutions and solve problems.</li><li>Serve on Program Leadership Teams, as necessary.</li><li>Develop constructive and cooperative working relationships with peers both within and outside of Technology, and maintain them over time.</li><li>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.</li><li>Establish, evolve and ensure compliance with standard practices and processes within the disciplines.</li><li>Assist with adherence to technology policies and comply with all security controls.</li><li>Ensure all work products meets/exceeds FINRA standards.</li><li>Participate in periodic Disaster Recovery (DR), Business Continuity Planning (BCP) and Sarbanes Oxley (SOX) testing and reporting. </li></ul>Resource Management <ul><li>Identify and hire resource/skills needed within their organization.</li><li>Responsible for staff performance management and training.</li><li>Coordinate assignment of subordinate staff. </li></ul>Education/Experience Requirements: <ul><li>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.</li><li>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.</li><li>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.</li><li>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.</li><li>Experience managing staff comprised of both employees and contractors.</li><li>Demonstrated ability to manage several initiatives simultaneously and balance competing priorities.</li><li>Past success contributing to strategic decisions for an organization, identifying investment tradeoffs, and delivering high quality solutions to customer needs.</li><li>Outstanding communication, organization, time management, interpersonal and management skills</li><li>Excellent problem identification, analysis and solving skills</li><li>Excellent written and oral communication skills</li><li>Proven change agent who can improve and grow the capability of an organization; keen eye for hiring and motivating teams </li></ul>Work Conditions: <ul><li>Work is normally performed in an office environment.</li><li>Occasional travel and extended hours may be required. </li></ul>For work that is performed in CA, CO, HI, New York, NY and WA, the chart below outlines the proposed salary range for the corresponding location. 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 internal peer compensation comparisons. California: Minimum Salary $158,900, Maximum Salary $339,300 Colorado/Hawaii: Minimum Salary $144,500, Maximum Salary $282,700 New York, NY: Minimum Salary $173,500, Maximum Salary $339,300 Washington: Minimum Salary $144,500, Maximum Salary $325,200 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. 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. 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 application accommodations. Employees may be eligible for a discretionary bonus in addition to base pay. 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 and many other benefits. 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 (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. <ul><li>Based on full-time schedule </li></ul>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. ©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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