Senior Director Cyber and Analytics Unit - All FINRA Locations
Senior Director Cyber and Analytics Unit - All FINRA Locations
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1 Vacancy
Job Description
The CEF team oversees the work across the core functions of a FINRA Specialist team which includes conducting investigations examinations advising on examinations and providing staff training. Other support may include informing industry and external stakeholders monitoring the area of specialization assisting key internal stakeholders and participating in special projects. The CEF team also provides consulting support to FINRAs Risk Monitoring and Examination teams during all phases of cyberenabled fraud investigations.
This is a senior level leadership position supervising a team of highly skilled cyber fraud and analytics specialists and will be expected to develop and execute a strategy to accomplish department objectives define individual staff roles provide general direction and guidance develop skillsets of staff and identify professional development opportunities for staff.
Essential Job Functions:
- Leads a team of highly skilled Cyber Security Investigators providing guidance and feedback to staff developing staffs skills and depth of knowledge and creating and fostering a teamoriented culture.
- Identifies and develops regulatory strategies around new and emerging risks and threats and supervises the of examinations consultations and regulatory work as they relate to those identified risks
- Leads and consults on cyber security and technologyrelated thematic reviews and/or Cause investigations.
- Leads the cyber security or technology risk assessment process (e.g. identify high risk firms monitor trends in breaches/incidents that may have an impact on member firms).
- Provides subjectmatter expertise to external parties including firm membership on highlevel regulatory issues. This could include panel discussions at conferences regional roundtables issuing information notices to firms or discussing effective practices.
- Ensures timely training support and intelligence is delivered to FINRAs Risk Monitoring Examination and other departments as needed.
- Collaborates with the Member Application Program (MAP) team to analyze new firms related to their technology and cyber risks and controls; Provide general consultative advice on cyber security concerns.
- Regularly collaborates with other regulators or law enforcement agencies such as the SEC FRB States CFTC NFA FBI DHS and other stakeholders.
- Reviews and approves examrelated reports and letters (i.e. strategy exit exam disposition etc.
- Represents FINRA at relevant industry events
Education/Experience Requirements:
- Bachelors Degree or an equivalent combination of education and experience required. Major in Accounting Finance Economics Business Administration Cybersecurity Computer Forensics Data Analytics or related fields preferred. Advanced degree relevant certification or law degree a plus.
- Significant securities compliance or financial regulatory experience.
- Highly advanced knowledge analyzing investigating and thinking strategically about complex cyber and analyticsrelated issues.
Knowledge Requirements:
- At a minimum substantive knowledge of risks rules and regulations pertaining to cybersecurity technology and fraudrelated risks and threats.
- Substantive knowledge of regulatory compliance issues.
- Knowledge of data analytics methods procedures and tools.
Skills Requirements:
- Expert ability in building trust and aligning high performing teams around common objectives
- Investigative experience
- Encourages open dialogue and fosters healthy discussions when faced with conflict.
- Highly advanced and effective written and verbal communication skills including outstanding interpersonal and presentation skills.
- Fosters culture of accountability at all levels
- Demands clarity and closure
- Facilitates team commitment to CAUs goals and objectives.
Working Conditions:
- Hybrid work environment with defined inperson presence requirements.
- Extended hours and travel as needed.
For work that is performed in CA CO HI MN VT IL Jersey City NJ New York City NY MA WA MD Washington DC NJ State and NY State please refer to the chart below for the salary range for the corresponding location. In addition to location actual compensation is based on various factors including but not limited to the candidates skill set level of experience education and internal peer compensation comparisons.
CA: Minimum Salary $177100 Maximum Salary $361700
CO/HI/MN/VT*: Minimum Salary $154100 Maximum Salary $301400
IL*: Minimum Salary $169400 Maximum Salary $331900
Jersey City NJ/NYC NY: Minimum Salary $185000 Maximum Salary $361700
MA/WA: Minimum Salary $154100 Maximum Salary $346700
MD/Washington DC: Minimum Salary $177100 Maximum Salary $346700
NJ State: Minimum Salary $169400 Maximum $361700
NY State: Minimum Salary $154100 Maximum Salary $361700
*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 midpoint of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.
#LIHybrid
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.
Please note: If the Apply Now button on a job board posting does not take you directly to the FINRA Careers site enter into your browser to reach our site directly.
FINRA strives to make our career site accessible to all users. If you need a disabilityrelated accommodation for completing the application process please contact FINRAs Employee Relations team at 240.386.4865 or by email atPlease note that this process is exclusively for inquiries regarding application accommodations.
Employees may be eligible for a discretionary bonus in addition to base pay. Nonexempt employees are also eligible for overtime pay in accordance with federal state or local law. As part of its dedication to employee wellness 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 longterm disability longterm 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 FINRAfunded retirement contribution tuition reimbursement commuter benefits and other benefits that support employee wellness such as adoption assistance backup family care surrogacy benefits employee assistance and wellness programs.
Time Off and Paid Leave*
FINRA encourages its employees to focus on their health and wellness in many ways including through a generous timeoff program of 15 days of paid time off 5 personal days and 9 sick days unless otherwise required by law (all prorated in the first year). Additionally we are proud to support our communities by providing two volunteer service days (based on fulltime 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). Fulltime employees receive nine paid holidays.
*Based on fulltime schedule
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 brokerdealers 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 (efeed) of data to FINRA and must move securities accounts from other securities firms to a firm that provides an efeed 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 strives to make our career site accessible to all users. If you need a disabilityrelated accommodation for completing the application process please contact FINRAs Employee Relations team at 240.386.4865 or by email atPlease note that this process is exclusively for inquiries regarding application accommodations.
All qualified applicants will receive consideration for employment without regard to age citizenship status color disability marital status national origin race religion sex veteran status or any other classification protected by federal state or local laws.
FINRA abides by the requirements of 41 CFR 60741.5(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 60300.5(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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Required Experience:
Exec
Employment Type
Full-Time
