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Finra Hiring for Technology, Design, and Change Management Lead, Enforcement at New York, NY Full Time

Full Job Description

The Technology, Design, and Change Manager manages technology initiatives from inception (idea generation), initiation/design, execution, through to business adoption / rollout, including and operational process, procedures communications and training aspects, in line with FINRA goals and objectives. The Manager works closely with the Enforcement Chief of Staff and the Senior Leadership Team by leading the design, development, and implementation of solutions and/or processes that provide continuous improvements for Enforcement, particularly technology and user experience focused. The Manager also works closely with other stakeholders within RegOps, Enforcement and Technology, to understand use cases, priorities, roadmaps, critical success factors, objectives and key results associated with enhancements and transformations.

Essential Job Functions:
  • Takes a leading role in innovating and streamlining operational efficiencies for Enforcement staff driving cases forward and providing improved user experiences. Provides thought leadership and support to the effort of creating more efficient and effective solutions. Delivers solutions for Enforcement that increase efficiency and experience for all staff members and provides improved insight into Enforcement cases, investigations, outcomes and resourcing.
  • Leads and supports technology initiatives across Enforcement, partnering with the Enforcement Chief of Staff, VP of Analytics, Insights and Technology Solutions, and Technology, to ensure an effective and streamlined approach is taken on all Enforcement projects and initiatives.
  • Develops relationships with stakeholders that are subject to delivering the enhancement/transformation (e.g., training, communications etc.) to ensure transformations and enhancements are delivered in a timely manner, communicated consistently, and are monitored to ensure anticipated benefits are realized. Leads change management efforts to effectively communicate, train, and obtain feedback from staff regarding technology initiatives.
  • Partners with the VP, Analytics, Insights and Technology Solutions and Technology teams to deliver products and process improvements as part of Enforcement’s Digital Transformation (EDT) and ensures that Enforcement staff and the Senior Leadership Team understand and agree with all investments.
  • Develops and implements critical technology-focused business solutions through information gathering, analysis, and review. Identifies and analyzes business needs and develops strategies within the context of the overall direction of the department.
  • Develops operational and project-specific materials that effectively communicate current state processes, future state concept of operations, critical success factors, costs, timelines, and roadmaps for achieving the desired future state. Presents materials to senior management and working teams to drive consensus regarding the future state and the path to realize the benefits of the change.
  • Partners with the Senior Leadership Team and Enforcement staff to identify candidate areas for process improvement and support the implementation of those processes through communication, training and other activities as required.
  • Responsible for independently resolving complex issues in a variety of technology-focused initiatives and solutions.
  • Trains Enforcement staff on project-based work as needed.
Other Responsibilities:
  • Ensures all assigned activities are completed according to prescribed policies and standards. Works with the Enforcement Chief of Staff to update and develop department procedures as needed.
  • Provides s on status of assigned tasks or projects.
  • Maintains knowledge of applicable business activities and processes.
  • Responsible for communications and training for Enforcement staff on new procedures and platforms as needed.
Education/Experience Requirements:
  • Bachelor’s degree in Finance, Business, or Technology.
  • Minimum of 8 years of relevant experience.
  • Project management experience.
  • Product management experience.
  • UI / UX design experience.
  • Demonstrated experience documenting solutions for complex business and data intensive systems.
  • Proficient in technical business writing, including functional requirement specifications, workflows, use-cases and other documentation methodologies.
  • Must have excellent verbal and written communication skills, as well as experience communicating with technical and operations teams.
  • Proficient with Microsoft Office products, especially with driving a narrative through PowerPoint.
Working Conditions:
  • Work is normally performed in an office environment.
  • Occasional travel and extended hours may be required.

For work that is performed in CA, CO, New York, NY and WA, 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 of $115,200, Maximum of $227,500
Colorado: Minimum of $104,500, Maximum of $189,600
New York, NY: Minimum of $125,400, Maximum of $227,500
Washington St: Minimum of $104,500, Maximum of $218,100
#LI-Hybrid
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 www.finra.org/careers 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 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.
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.

Job Overview

  • ID: 350207
  • Date Posted:
  • Location:
  • Job Title: Finra Hiring for Technology, Design, and Change Management Lead, Enforcement at New York, NY