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Chief, Enforcement Data Analytics

Company: Financial Industry Regulatory Authority, Inc.
Location: Jersey City
Posted on: January 11, 2022

Job Description:

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 corresponding technologies.

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 them.

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 Department.

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 alternatives.
* 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 analytics needs.
* 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 enrichment.
* 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 teams assigned.
* Consult and contribute to the planning and definition of the product.
* Define subsystems and their interfaces; allocate responsibilities to subsystems; understand solution deployment, and communicate requirements for interaction with the solution context.

Education/Experience Requirements:

* 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 preferred.
* 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.

Working Conditions:

* 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 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 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 FINRA's 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

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.

-2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Keywords: Financial Industry Regulatory Authority, Inc., Jersey City , Chief, Enforcement Data Analytics, Other , Jersey City, New Jersey

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