Asian Workforce

FINRA

Senior Director, Graph Solutions - Any Finra Location (Project Management)

The Advanced Analytics Senior Director of Graph Solutions is an experienced leader in developing business solutions with investigators, examiners, analysts, and attorneys utilizing graph analytics and related business process integrations. The candidate has a track record of excellence harnessing and expanding the intelligence and analytical capabilities of graph to identify complex behaviors of interest, uncover hidden relationships, solve novel problems, and improve regulatory decision making. This role requires extensive subject matter expertise in the business application of graph analytics (which forms the basis of the knowledge graph tool being implemented for enterprise use) and in leveraging graph's capabilities and functionalities to expand the scope, speed, and effectiveness of detection, investigation, analysis, and decision making within FINRA's Regulatory Operations. On a day-to-day basis, the Senior Director is responsible for working with business partners in Member Supervision, Market Regulation, Enforcement (i.e. Regulatory Operations), and Technology to identify solutions using graph techniques and functionality that enhances detection, improves investigative processes, and augments the expertise of staff. Importantly, the Senior Director is critical to the adoption and use of graph analytics tools with a focus on implementing strategies that generate awareness, build knowledge, and create ongoing demand for additional capabilities. This requires building lasting partnerships not only with business partners and leaders but with Technology teams (including Product Management), Communications staff, Change Management partners, Training teams, and Advanced Analytics leadership. Success in this role will heavily support the mission of Regulatory Operations in identifying and addressing misconduct through timely identification of behaviors and activities that harm investors or markets.

The Senior Director must listen to and understand business partner needs and work closely with the Product Managers and Technology to develop product outcomes that bring ongoing value to business partners and users. The role will partner with leadership and staff across Advanced Analytics, Regulatory Operations, and Fusion Team(s), and will help focus business teams on measuring business value and outcomes, including operational effectiveness, efficiency gains, detection of unknown behaviors, and risk reduction for investors, members, and FINRA.

Essential Job Functions:

Within the role, the Senior Director will:

Leverage subject matter expertise to proactively engage with business partners to strategize and design solutions that improve detection, investigation of activities, and decision-making utilizing graph analytics and visualizations
Identify additional opportunities to enhance and expand relevant datasets and functionality within the graph analytics tools for use across the enterprise
Develop training and business enablement content to ensure understanding and use of graph capabilities to support business goals and objectives; work with Regulatory Operations training teams to build out effective training and enablement plan for greatest impact in leveraging benefits of graph analytics and visualizations
Gather, recommend, and communicate solutions, processes, opportunities, challenges, and success criteria based on investigatory expertise to partners in Regulatory Operations and Technology and data analytic teams who will create or enhance solutions, tools, and models
Work closely with the graph analytics Fusion Team and Product Management to communicate business needs, build capabilities, and deploy functionality
Champion and deliver demonstrations and presentations to teams, leadership, and Board to highlight outcomes, and articulate benefits to encourage and support broader adoption across the enterprise
Help define and validate success criteria for business partners where graph tools can enable them to succeed at accomplishing their goals and objectives
Rely upon design thinking / growth mindset to approach business problems with a strategic view
Provide feedback regarding solutions, tools, and platforms with a view of strategic priorities
Work with necessary parties to create and implement roll-out processes and best practice guidance for ongoing tool use
Champion new graph capabilities, functions, and processes within and across Regulatory Operations and the enterprise

Education/Experience Requirements:

Must have a minimum of 12 years of investigative experience in a regulatory, law enforcement, consulting, or compliance role focused on financial services
Minimum 4 years of experience working with graph analytics toolsets
Demonstrate superior investigative and analysis skills
Able to prioritize a complex and shifting workload, make difficult decisions, and resolve competing priorities
Demonstrated ability to interact effectively and in a positive manner with management, peers, and other constituencies to accomplish the organization's mission and goals
Proven record of operationalizing and deploying technology applications across business users
Self-starter who is forward-thinking, and ability to “get into the weeds” of business processes and technology capabilities and then articulate and summarize at a management level to maximize value and outcomes
Excellent organizational, oral, and written communication skills are essential

Working Conditions:

Work is normally performed in an office environment
Primary office is located at any FINRA location with some travel requirements

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 candidate's skill set, level of experience, education, and internal peer compensation comparisons.

CA: Minimum Salary $177,100, Maximum Salary $361,700

CO/HI/MN/VT*: Minimum Salary $154,100, Maximum Salary $301,400

IL*: Minimum Salary $169,400, Maximum Salary $331,900

Jersey City, NJ/NYC, NY: Minimum Salary $185,000, Maximum Salary $361,700

MA/WA: Minimum Salary $154,100, Maximum Salary $346,700

MD/Washington, DC: Minimum Salary $177,100, Maximum Salary $346,700

NJ State: Minimum Salary $169,400, Maximum $361,700

NY State: Minimum Salary $154,100, Maximum Salary $361,700

*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 mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

#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. Non-exempt 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 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, 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 time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (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.

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 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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