Chief, Enforcement Data Analytics
Company: Financial Industry Regulatory Authority, Inc.
Location: Jersey City
Posted on: January 11, 2022
The Data Analytics Chief, Enforcement - Investigations (Chief)
is an experienced manager who provides thought leadership in
framing the strategy for Enforcement's data analytics initiatives
(as well as enterprise-wide initiatives) based on strong
understandings of the securities industry, investigations and
The Chief manages Enforcement's Data Analytics Team and ensures the
quality, consistency, and timeliness of the team's work product.
The Chief is a strong communicator who is able to explain process,
methodology, tooling, and vision to FINRA's senior management as
well as Enforcement case teams.
The Chief is also a member of a broader program management team and
is responsible for the overall business architecture and design of
the models/tools that enable FINRA's investigative functions in
partnership with Technology. The Chief is a Design Thinking leader
who understands the complexities of large-scale solution
development and applies Lean and Agile practices to address
In addition, the Chief is responsible for a cross-discipline view
of solution development including analyzing technical and business
ROI trade-offs, determining major components and subsystems, and
defining interfaces and collaboration between them. The Chief
understands the solution context and works with the development
teams and business users to help ensure continuous automation and
efficiency gains in the business user's environment.
In cooperation with Product and Delivery Management, the Chief
plays a critical role in aligning teams with a common technical
direction while they work toward the accomplishment of the vision
and execution of the roadmap. As a program-level leader of the
technical staff, the Chief takes a "hands on" approach and mentors
the Data Analytics Team, as well as the entire Enforcement
To establish and maintain credibility with development teams and
other technologists, the Chief is a persuasive collaborator who has
experience working with developers and data analysts / scientists.
Although, the Chief has authority and responsibility over the
architecture and design of the applications, the Chief favors
guiding teams toward a suitable solution and building consensus
within the team such that these decisions are jointly owned and all
parties are devoted to the approach. There will be times where the
Chief must step in and make a decision for a number of reasons
(e.g. stopping paralysis, violation of portfolio/enterprise
requirements) but these cases should be rare. The Chief focuses on
the big-picture and makes sure that development teams are kept
informed with any information that is relevant to their product and
helps them align with needs of the organization. The Chief should
also step in to remediate issues and risks to remain on track per
agreed objectives and strategy.
Essential Job Functions:
Perform the following job functions and with minimal supervision
across all types of matters:
Leadership and Strategy
* Serve as a member of the Advanced Executive Leadership Team and
partner closely with Market Regulation, Member Supervision,
Enforcement, People Solutions and Technology departments in
deploying advanced analytics solutions.
* Lead the continual development and execution of Enforcement's
advanced analytic strategy with a focus on developing the
models/tools that enable FINRA's investigative functions and align
with other data analytics initiatives across the organization.
* Lead Enforcement's data analytics governance process. Own the
high-level design of the solution and evaluate solution
* Identify opportunities for, and implement, advanced
analytics/machine learning solutions
* Facilitate and lead the design, technical architecture for
Enforcement's data analytics program to achieve business strategy
objectives and operational efficiency.
* Develop strategic plans and represent Enforcement's goals and
priorities to provide a unified view of Enforcement's data
* Develop business cases that justify and support business
strategies, programs and initiatives
* Lead a team of data analysts and ensure that team applies
consistent methodologies, identify and share best practices, and
equitably distributes assignments across the team.
* Mentor staff, challenge assumptions, and encourage them to
consider the tradeoffs among the quality attributes.
* Champion adoption of advanced analytics
* Has a sophisticated understanding of securities industry data
requirements, as well as data ingestion, ETL and reference data
* Assist in automating queries and calculations from Excel and
Access into End User Computing calculations/models.
* Review Data Analytics Team methodologies and develop best
practices for the Department.
* Align development teams to a common technological and
architectural vison of the solution under development and oversee
the development of Enforcement's data analytics plans.
* Work with development teams and provide technical leadership and
the direction for the interfaces between the subsystems and between
the solution and the solution context.
* Utilize Lean and Agile practices in coordination with Technology
* Consult and contribute to the planning and definition of the
* Define subsystems and their interfaces; allocate responsibilities
to subsystems; understand solution deployment, and communicate
requirements for interaction with the solution context.
* Graduate degree in Computer Science, Economics, Finance or
Accounting with a minimum of ten (10) years of experience. Advanced
degree is highly desirable; however, related experience can be a
substitute for advanced degree.
* A minimum of 5 years of experience and knowledge in the field of
quantitative analysis as it relates to the securities industry.
Experience working with a securities industry regulator is strongly
* Strong financial and risk analytical skills and some experience
in operations and risk modeling fields, as well as the ability to
analyze large amounts of data in an efficient manner.
* Experience in advanced statistical methods, pattern recognition,
outlier detection algorithms, and/or building predictive models.
Toolkits could include: SQL, Python/R, Strata, Tableau, Plotly,
Shiny, Spark, Presto, etc.
* Work is normally performed in an office environment.
* Extended hours will be required on a regular basis.
* Occasional travel may be required.
Compensation Range for Colorado locations
Annual Salary: $136,200.00 - $266,500.00
To be considered for this position, please submit an
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
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Keywords: Financial Industry Regulatory Authority, Inc., Jersey City , Chief, Enforcement Data Analytics, Other , Jersey City, New Jersey
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