Job Abstract

Essential Job Functions:

• Develops and manages system security hardening baselines, guidelines, policy, and procedures

  Participates in the identification, analysis, and documentation of IT cyber risks

  Evaluates the appropriateness of risk response associated action plans including acceptance, avoidance, mitigation, remediation, sharing, and/or transfer

  Provides support for IT cyber risk, service level, and/or performance metric reporting requirements

• Directly supervise team(s) focused on delivering high quality operational results within a technology group.
• Ensure service levels and/or performance metric are maintained and take corrective actions to improve them, as necessary.
• Focus on team leadership, delivery of service, risk mitigation, cost optimization and return on investment.
• Ensure technology best practices are being implemented and improved within team(s) including documentation of lessons learned.
• 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 direct management.
• Work with outside vendors and make recommendations to direct management related to services and product agreements.
• Serve as a 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.
• Establish and maintain external relationships with direct product/service vendors, as appropriate.
• Contribute to the establishment, evolution and continued compliance with standard practices and processes.
• 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 team.
• Coordinate assignment of subordinate staff.

Education/Experience Requirements:

• Bachelor’s degree in Computer Science, Information Systems or related discipline with at least five (5) years of related experience, or equivalent training and/or work experience.
• Minimum of three (3) years of managing an operations group including staff management of at least three (3) resources.
• Knowledge of business, technology and management principles involved in organizational change management, resource allocation, leadership technique, and coordination of people and resources.
• Broad 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.
• Excellent ability to troubleshot problems and identify solutions.
• Demonstrated ability to develop effective working relationships and leverage those relationships to improve the quality of work products.
• 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. ?

Work Conditions:

• Work is normally performed in an office environment.
• Occasional travel and extended hours may be required.

For work that is performed in CA, Washington, DC, 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 $106,400, Maximum Salary $200,200

Washington, DC: Minimum Salary $106,400 Maximum Salary $191,800

Colorado/Hawaii: Minimum Salary $92,500, Maximum Salary $166,800

New York, NY: Minimum Salary $111,000, Maximum Salary $200,200

Washington State: Minimum Salary $92,500, Maximum Salary $191,800

#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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