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Director, Enforcement Data Analytics

Company: Financial Industry Regulatory Authority, Inc.
Location: New York
Posted on: April 10, 2021

Job Description:

The Director, Enforcement Data Analytics ("DA Director") is responsible for the strategic design and implementation of complex analytical and/or advanced data abstraction models for various securities products, complex fact patterns, new rules, high risk activities as well as performing ad hoc market analysis to support Enforcement. The DA Director works closely with both the VP of Enforcement Investigations and the VP of Enforcement's Strategic Programs, and collaborates with FINRA Technology to identify resources, tools and capabilities to support Enforcement's data analytics program. The DA Director also collaborates with other parts of Regulatory Operations to ensure efficiencies in data analytics developments and efficiencies in technology resource development.

The DA Director manages a team of Enforcement investigators/data analysts in the Department of Enforcement (Enforcement) who develop the factual record in multiple complex data-driven Enforcement investigations and disciplinary actions. The DA Director provides advanced knowledge and expertise on data-intensive securities investigations for Enforcement and leads a team that is responsible for working with large volumes of data to identify securities law and rule violations, as well as detecting and understanding trends in the securities industry and markets. The DA Director has a sophisticated understanding of securities markets, strong investigative skills, and is responsible for managing analytic support for large or complex investigations.

The DA Director works closely with the VP, Enforcement Investigations to achieve consistent and foreseeable outcomes across Enforcement's docket, including identifying and escalating novel issues and investigative approaches to Enforcement's Senior Leadership Team. The DA Director leads active and effective collaboration between Enforcement investigators and other FINRA staff, including Enforcement attorneys and investigative staff outside of Enforcement. Finally, the DA Director manages staff performance and development by overseeing staff assignments and development opportunities.Essential Job Functions:

  • Lead a team of quantitative research analysts in building sophisticated models, determining proper empirical methodology, organizing data collection, writing unique programs, preparing written reports, and summarizing the results of analytic studies in formal and informal presentations.
  • Provide oversight, expertise, direction and active management to Enforcement investigators to achieve timely and foreseeable high-quality Enforcement outcomes. This includes working closely with investigators to assess investigative strategy and techniques, conduct advanced analyses, ensuring that team utilizes consistent methodology, monitoring the quality of the investigation including reviewing the results of data analysis, and suggesting alternative approaches as needed.
  • Partner with Enforcement senior leadership and others to inform internal and external constituents on overall program vision, strategy, operations, processes, and implementation status.
  • Actively manage and support the investigators' working relationships and teamwork with Enforcement attorneys and other FINRA departments, including Technology, Member Supervision, Market Regulation, and National Cause and Financial Crime. Share information about investigative methodologies, technology, and data, and jointly develop standard approaches to be used consistently across FINRA.
  • Develop state-of-the-art software tools to collect and analyze large volumes of structured and/or unstructured data.
  • Independently identify new investigative or analytics techniques as needed and assess the model for consistency with accepted approaches.
  • Communicate with other investigative units across FINRA to problem-solve and resolve conflicts in investigative approaches or inconsistent findings.
  • Collaborate with FINRA Technology and Regulatory Operations departments to create efficiencies and a coordinated data analytics approach across FINRA.
  • Develop and provide recommendations to Enforcement senior management and business partners throughout FINRA, based on the team's data analysis findings.
  • Provide clear and accurate factual findings to attorney teams and provide insight from industry experience and/or subject matter expertise to help objectively assess the sufficiency of evidence.
  • Work with attorney teams to achieve foreseeable charges and sanctions in Enforcement matters under management, including adherence to FINRA's priorities and principles.
  • Counsel and train investigative staff on efficient ways to leverage data analysis in their investigations.
  • Identify and escalate matters involving complex and novel fact patterns in order to coordinate as needed, including monitoring developments and advising on risks and outcomes.
  • Review dockets and reports and meet regularly with staff to monitor quality and timeliness of case progression. Work closely with other managers to prioritize assignments and resolve conflicts on staff members' dockets.
  • Continuously provide performance feedback to direct reports and/or deliver training to other team members and coach performance as appropriate.
  • Manage a team of investigators, who are located in different locations. Provide performance feedback to other managers regarding their staff's work and collaboration.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 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.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.In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, 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 InformationFINRA'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 RepresentativesPlease 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 EmployerAll 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. FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC's oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA's independent regulation plays a critical role in America's financial system-all at no cost to taxpayers. FINRA touches virtually every aspect of the securities business-from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage. In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets. FINRA operates from Washington, DC, and New York, NY, with other offices around the country. Find out more about us and how we work-and view our current openings-at

Keywords: Financial Industry Regulatory Authority, Inc., New York , Director, Enforcement Data Analytics, Executive , New York, New York

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