Senior Principal, Criminal Justice Information Program

The Senior Principal, Criminal Justice Information Program is responsible for monitoring, interpreting and applying technical, legal and operational revisions to policies, standards, requirements and other guidelines created by federal agencies such as the FBI and National Institute of Standards and Technology (NIST), and organizations such as the National Crime Prevention and Privacy Compact Council (Compact Council) that impact FINRA’s management of criminal justice information (CJI). This role operationalizes solutions that enable designated Authorized Recipients, which includes FINRA, firms, and regulators, to comply with laws, rules, standards, and policies related to the safeguarding and management of CJI. The operational solutions apply to FINRA’s Fingerprint Program, which encompasses all FINRA personnel, broker-dealers, funding portals and SEC-registered transfer agents, and includes FINRA’s dedicated fingerprint channeler and secondary dissemination of CJI to other designated Authorized Recipients. This role is also responsible for reviewing evolving controls and requirements specified in the Criminal Justice Information Services (CJIS) Security Policy (FBI Policy) and the FBI Security and Management Control Outsourcing Standard for Channeling.

Key responsibilities include:
-Building strong relationships with stakeholders as well as cross-functional partnerships enterprise-wide to review, analyze and interpret documentation and provide recommendations to ensure FINRA’s Fingerprint Program is in compliance with federal requirements.

-This is a high-impact individual contributor that influences how FBI Policy is interpreted and implemented across the enterprise. The Senior Principal will provide strategic thought partnership to business and technology stakeholders and effectively communicate operational and strategic proposals and plans.

Essential Job Functions:

• Independently monitor federal websites for relevant updates on changing laws, rules and policies on CJI, including criminal history record information (CHRI) and personal identifiable information that impact FINRA’s Fingerprint Program.
• Synthesize rules and policies into requirements and controls to map to technical and operational components within FINRA’s Fingerprint Program.
• Implement recommendations that comply with revised rules, policies, and controls while meeting FINRA’s unique outsourcing architectural model.
• Collaborate closely with business and technology stakeholders to drive audit and compliance functions for FINRA’s covered business operations and systems.
• Develop artifacts such as evidence of compliance, and objectives and key results (OKRs) that support a culture of measurement and compliance.
• Develop and manage risk mitigation strategies, including tracking and reporting of compliance and risk-based prioritization goals.
• Responsible for coordinating a collaborative, tactical approach for FINRA to address updated rules, policies and controls related to CJI and compile documentation to serve as evidence of FINRA’s compliance.
• Proactively communicate with senior leadership on interpretations, recommendations, and risk management strategies.
• Provide recommendations to improve the security of CJI, including personal identifiable information and CHRI, focused on risk-based prioritization.
• Advocate for proposed revisions to fingerprint operational workflows impacted by evolving rules, policies and controls.
• Serve as FINRA’s primary point of contact to collect required evidence of FINRA’s fingerprint channeler and participating electronic fingerprint providers to validate ongoing compliance with evolving FBI security requirements and procedures.
• Actively participate in meetings and events concerning FINRA’s Fingerprint Program.
• Collaborate with technology, compliance, internal audit and other departments for awareness of impact to FINRA’s Fingerprint Program.
• Continue training and knowledge on federal rules, policies and controls that directly impact FINRA’s Fingerprint Program.

Other Responsibilities:

• Support multiple priorities in parallel and prioritize competing demands.
• Other duties as assigned.

Education/Experience Requirements:

• Bachelor’s degree or equivalent combination of education and relevant experience required. Advanced degree, a plus.
• Minimum of 10 years of project management experience, including minimum of 10 years of professional work experience involving federal requirements related to securing and managing CJI data is required.
• Strong quantitative and qualitative analytical skills.
• Working knowledge of NIST standards including 800-53 and 800-171.
• Proven ability to collaborate and influence to achieve outcomes.