17 days old

Vice President, Enforcement Technology & Enterprise Applications - ANY FINRA LOCATION

FINRA
Rockville, MD 20850
  • Job Code
    R-003356

The Vice President, Enforcement Technology & Enterprise Applications has direct responsibility for the strategy, development, support and sustainability of enterprise applications which support FINRAs corporate systems, investigative, and enforcement business lines. The VP also oversees development, support, and operations of all content services supporting FINRAs lines of business including the Market Regulation, Member Supervision, Enforcement, OFDMI and People Solutions business units (the Business Units). The position is strategically critical in delivering cost efficiency and savings by introducing, identifying, and promoting consistent end-to-end case, content and corporate applications to support multiple lines of businesses with diverse business processes.

Essential Job Functions:

  • Innovate and collaborate with business and technology leaders to outline objectives, initiatives, and enhancements that create business value, improve operational efficiency, and reduce delivery risk. Evaluate, prioritize, and recommend solutions transparently balancing budget, scope, schedule, and technology trade-offs.
  • Assist in the creation and execution of business and technical process improvement initiatives by working across teams to enhance the systems, processes and controls to improve the effectiveness of business efforts and technology deliveries.
  • Assess and quantify operational risks. Provide recommendations to mitigate risk to the Business Units.
  • Manage relationships with major technology vendors and strategic partners, including negotiating and executing vendor contracts.
  • Develop annual technology budget and manage technology expenses to meet or exceed budget targets, and direct and prioritize technology resources accordingly.
  • Build and develop a robust technology organization for FINRA applications development.
  • Develop the next generation of leadership talent required for applications development technology.
  • Identify, evaluate and implement new technologies in support of emerging business requirements.
  • Develop relationships with industry and academic centers of excellence to foster technology and talent transfer to FINRA.
  • Establish a culture, processes and rigor reflective of commercial software development standards for Application Development technology.

Other Responsibilities:

  • Develop FINRA into a recognized industry leader in case and content management along with corporate systems .
  • Identify and lead the implementation of new technologies to increase business effectiveness and efficiency.
  • Identify and lead new business opportunities for FINRA to provide technology services to the financial services industry.
  • Manage and lead new FINRA technology ventures.
  • Oversee day-to-day technology operations of the Business Units application platforms.

Education/Experience Requirements:

  • BS/BA degree, preferably in Computer Science, Engineering or related field, advanced degree preferred. A minimum of 15 years in information technology or related professional experience, preferably in the Financial Services industry, as well as managing in a multi-line business environment. Experience in vendor management a plus.
  • Organization building, preferably in a start-up technology environment as well as in a larger scale corporate environment. A demonstrated track record in hiring, staffing and leading agile technology teams.
  • A demonstrated track record in adapting technology innovation to business problems through the development of software products.
  • Demonstrated ability to effectively communicate and work with other executives in support of achieving aggressive business goals and excellent executive-level presentation skills. Possesses a thorough understanding of complex social dynamics and know-how to build collaborative relationships both at the executive level and with external constituents.
  • A fundamental knowledge of a broad range of technologies, including hardware, operating systems, commercial off-the-shelf (COTS) software, development methodologies and tools. Strong verbal and written communication skills; ability to develop policies, presentations and other communication mechanisms targeted at a broad audience ranging from the Board of Directors to the rank and file of the company.
  • Relationship Management experience working with multiple technology and business units at senior levels in addition to line solutions. Well versed, and with a proven track record, in modern technology management approaches including SCRUM and the ability to transform organizations through application of these management approaches. Proven ability to lead a large staff with experience in managing software organizations including leading new development and maintenance, management, configuration, support and/or testing activities, negotiation skills and familiarity with I/T contracts.

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 FINRAs accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.

Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. 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

FINRAs 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 Codes investment and securities account restrictions, and new employees must comply with those investment restrictionsincluding disposing of any security issued by a company on FINRAs Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentby 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 FINRAs Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the companys 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 persons 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.







Posted: 2021-11-11 Expires: 2021-12-10
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Vice President, Enforcement Technology & Enterprise Applications - ANY FINRA LOCATION

FINRA
Rockville, MD 20850

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