Senior Director, Data & Technology Initiatives

The Senior Director, Data & Technology Initiatives (“Senior Director”), reports to Enforcement’s Vice President, Data & Analytics and is responsible for leading certain data and technology initiatives for Enforcement, including Enforcement’s cross-functional work within Regulatory Operations, the preparation of reports to Enforcement and RegOps SLT, as well as oversight of Enforcement Technology initiatives and operations work. The Senior Director works independently with limited supervision and guidance. This role supports the Vice President, Data & Analytics in formulating Enforcement’s strategy – roadmap planning, designing key results and measurements for success and capital planning – as well as the coordination of intra- and extra-departmental initiatives with respect to technology, data, and analytics projects. The Senior Director provides expert advice and analysis to Enforcement senior management on the development and implementation of departmental strategy. They also represent the Vice President, Data & Analytics and Enforcement senior management at meetings with internal and external constituents when necessary.

Essential Job Functions:

• Drive the success of Enforcement strategic technology and data analytic projects extending over a multi-year period and ensure that these projects optimize business value and reduce regulatory and reputational risk across our investigatory processes.
• Deeply understand the business needs, prioritize and support delivery of solutions, in partnership with senior leadership across Enforcement and Regulatory Operations.
• Communicate business goals, processes, objectives, requirements and success criteria to partners in Enforcement, Technology and RegOps data analytic teams who will create or enhance solutions, tools, and models.
• Provide feedback regarding solutions, tools and platforms with a view of strategic priorities
• Champion the new capabilities, tools and processes within the Enforcement department as well as Regulatory Operations, where appropriate.
• Provide direction and management to maximize productivity and achieve timely and foreseeable high-quality outcomes.
• Advise Enforcement senior leadership on issues that include new data & technology initiatives.
• Develop presentations, reports including board and Management Committee reporting, projects plans and metrics.
• Prepare internal advice memoranda for Enforcement senior management. Prepare and deliver high-level briefings/ presentations to executives and others, as needed.
• Oversee the design and implementation of Enforcement’s data and technology strategy.
• Oversee the rollout of technology to Enforcement, particularly from a program management and change management perspective
• Working with Finance, Regulatory Operations and Technology partners, assist with the capital planning process for Enforcement.
• Lead, or co-lead with the Vice President, Data & Analytics, a variety of cross-functional and corporate-wide data and technology initiatives and special projects, in the advancement of the strategic direction of Enforcement.
• Serve as intermediary for complex and often novel matters that arise that would otherwise require the attention or involvement of the Vice President, Data & Analytics. Assess issues that impact the department and determine the proper course of action.
• Identify, assess, and analyze high risk and urgent issues requiring the attention of the Vice President, Data & Analytics and present such issues in an organized and succinct manner.
• Develop and maintain effective relationships with senior leaders throughout the organization.

Education/Experience Requirements:

• Bachelor’s degree and ten (10) or more years of directly related experience in securities industry or related field, or an equivalent combination of education and experience.
• Advanced degree in Technology, Analytics or Business preferred
• Experience working in the technology and finance industry preferred.
• Proven track record of successfully leading a team and demonstrating strong leadership skills.
• Demonstrated organizational skills, and the ability to multi-task and work independently are required.
• Excellent verbal and written communication skills, including making presentations to senior leadership.
• Excellent interpersonal skills.
• Strong analytical, critical thinking and decision-making skills
• Ability to effectively manage and deliver on concurrent time-sensitive projects.

Working Conditions: