Director, FINRA CAT Data Management - FINRA

The Director, FINRA CAT (FCAT) Data Management, works across business units to promote the adoption, use, and ongoing sustainment of analytics to promote the overall quality of the Consolidated Audit Trail. This role is responsible for the planning, implementation, follow-up strategy, and overall success of delivering strategic data-driven business analytics. In addition, this role provides expert analytics advice and thought leadership in the direction, execution, and supervision of critical analysis. This includes, but is not limited to, articulating desired outcomes, defining the approach, determining scope, applying appropriate quantitative methods, and building support/buy-in from key partners and stakeholders to ensure project objectives and goals are met.

Essential Job Functions:

• Builds, develops, and maintains data models, dashboards, and metrics to monitor, support, and measure the effectiveness and quality of the Consolidated Audit Trail.
• Counsels and provides guidance to solutions delivery teams on high-quality, repeatable, and sustainable analytics capabilities that validate and proactively identify processor errors impacting regulatory usage of the data.
• Promotes and advocates the use of data, advanced analytics, and associated insights for internal and external stakeholders, key sponsors, including senior leaders across the organization.
• Provides department and organizational leadership in the selection and use of business intelligence tools, platforms, and technologies.  Demonstrates how these investments can measurably be transformed into business insights and operational improvements, trended and interpreted over time.
• Advises FCAT employees/teams in the application of  data analysis with an emphasis on maintaining a high level of CAT data quality and the trusted reputation of the FCAT team.
• Drives availability of relevant data, tools, and infrastructure to facilitate for experimental and development purposes.
• Examines, interprets, and communicates results of data solutions, analytical initiatives, and overall business impact to senior management, technology, and business teams across the organization as well as external constituents for decision making and strategic planning.

Other Responsibilities:

• Directs research analysts on the team and across FINRA CAT on methodologies and best practices.
• Maintains and continuously develops critical skills by attending training programs, associated conferences, and continued education in advanced analytics, software development, cloud computing, and machine learning.

Education/Experience Requirements:

• Bachelor’s degree in STEM, Business, or similar quantitative discipline, and a minimum of ten (10) years of related work experience in Data Science, Engineering or Software development; or an equivalent combination of education and experience.
• Experience in advanced analytics using machine learning, data mining, and natural language processing, preferred.
• Familiarity with Big Data processing and platforms desirable
• Strong knowledge of market regulation and Regulation NMS Rule 613 preferred
• Strong knowledge in at least one of the following programming languages: Python, R, SQL, or SCALA.
• Strong problem solving and analytical skills
• Excellent interpersonal and communication skills
• Ability to work independently on complex and prolonged projects

Working Conditions:

• Hybrid work environment (remote/office)
• Occasional travel and extended hours may be required

For work that is performed in CA, Washington, DC, CO, HI, MN, VT, New York, NY, WA and MD 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 $146,200, Maximum Salary $296,100

Washington, DC/Maryland: Minimum Salary $146,200, Maximum Salary $283,800

Colorado/Hawaii/Minnesota/Vermont: Minimum Salary $127,300, Maximum Salary $246,600

New York, NY: Minimum Salary $152,700, Maximum Salary $296,100

Washington: Minimum Salary $127,300, Maximum Salary $283,800

#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

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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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