Senior Director Data Lead, Enforcement Data & Analytics

The Senior Director Data Lead of the Enforcement Data and Analytics team is responsible for providing management and strategic thought leadership on leveraging data to benefit the analytics, regulatory services, investigative and enforcement duties of the Enforcement department. This leader is instrumental in advocating for, promoting and educating on data to senior management, technology, other Enforcement teams and across FINRA as well as external constituents. This is senior-level professional work in which incumbents are defining their assigned roles, increasing their skills, and working independently under minimal guidance.

Essential Job Functions:

• Deploy in-depth knowledge of relevant market order and transaction data to help the business with investigative analytics and supporting Enforcement technologies.
• Directs and trains staff to leverage data as a competitive and strategic asset, balancing security and privacy needs with collaborative usage of data.
• Foster a culture of data literacy and data driven decision processes.
• Work with the Vice President of Data & Analytics to develop a strategy to drive the optimization of data usage across Enforcement and FINRA.
• Work with FINRA Business and Technology to effectively manage data acquisition, data quality, and data consumption to enable Enforcement.
• Manage a data program, working with multiple Enforcement teams that promotes the seamless use of data across systems and resolves data issues.
• Formulates a strategic, global view of data needs, both current and future, for Enforcement and plays a critical role in formulating RegOps data strategy and needs.
• Provide department and organizational leadership in the selection and use of 3rd party commercial data sets, data-related tools, platforms, and technologies.
• Assess and propose data driven responses to industry trends and new regulatory requirements.
• Manage an effective and comprehensive data catalog for Enforcement data, including data from commercial data providers, and Enforcement’s systems of record for matters, operational data, etc.
• Collaborate and partner with senior level management and individual contributors in Enforcement, Technology and across FINRA to identify and leverage new data sets and sources.
• Develop processes to understand the business usage of data and draws insights on how to gain efficiencies.
• Identify and manage lifecycle of critical data sets used in critical business processes.
• Using subject matter expertise, promote the use and understanding of trading and market data across FINRA, including the development of training and self-help reference material.
• Identify and resolve questions about the best approach to data analysis to ensure consistency in matters across FINRA.
• Identify opportunities to work with staff to leverage data for more efficient results.
• Support management and others to inform on overall program vision, strategy, operations, processes, and implementation status.

Education/Experience Requirements:

• Bachelor’s degree in Information Technology or Analytics and a minimum ten (10) years of experience.  Advanced degree highly desirable.
• Minimum of five (5) years’ experience in managing people, projects, and/or programs.
• Experience with financial services and securities industry preferred.
• Strong knowledge of enterprise-wide data sources.
• Proficient in analytics of Big Data using programming languages like SQL, Python/R, Strata, Spark, Dataiku.
• Demonstrated project management, process improvement, and goal attainment skills.
• Excellent interpersonal and communication skills, including presentation skills.
• Ability to work independently on complex and prolonged projects.

Working Conditions:

• Extended hours may be required.
• Occasional travel may be required.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, 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.

CA: Minimum Salary $171,900, Maximum Salary $351,200

CO/HI/MN/VT*: Minimum Salary $149,600, Maximum Salary $292,600

IL*: Minimum Salary $164,500, Maximum Salary $322,200

Jersey City, NJ/NY, NY: Minimum Salary $179,600, Maximum Salary $351,200

MD/Washington, DC: Minimum Salary $171,900, Maximum Salary $336,600

WA: Minimum Salary $149,600, Maximum Salary $336,600

*Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

#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.

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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.

*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 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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