Director, Client & Systems Management

The Director, Client & Systems Management is a critical role within Product Management that strategically works with management to plan and design future projects as part of the overall vision for Transparency Services (TS). Responsible for business analysis, project management, development of business requirements and production support for all discretionary and non- discretionary projects. The Director partners with other FINRA teams such as FINRA Operations, OGC, Finance and Market Regulation, to implement technical solutions and enhancements that cut across the organization and support downstream FINRA systems such as Market Regulation and Surveillance. Ensures that solutions are delivering products that support FINRA’s vision.
The systems supported are real time trade and quote reporting systems directly impacting the markets, investors and member firms. This role requires extensive business knowledge in the areas of Equities and Fixed income, and the ability to understand FINRA rules and business needs and translate them into technical solutions that can be implemented quickly and in a cost effective manner.

Essential Job Functions:

• Directs a team of Analysts responsible for working with the business teams to analyze their needs and accurately capture and document business requirements for the Development Team. Ensures deadlines are met or exceeded. Partners with Development Team Management to identify technical solutions that fit the business needs and in doing so acts as a liaison between the technical and business teams.
• Continuously communicates with internal FINRA teams with respect to system changes, enhancements and new initiatives that could impact their systems. The job requires a firm understanding of internal and external technical interfaces, data structures, and SDLC methodologies.
• Directs analysts in capturing and documenting all change control items for enhancements and bugs and facilitates brain analysis sessions between FINRA business analyst, FINRA Business teams and technology Developers to arrive at solutions to problems.
• Provides technical expertise to design systems and manage projects identifying issues and solutions to comply with FINRA and SEC rules.
• Establishes and maintains external relationships with product / service vendors and industry forums
• Represents FINRA at Industry working groups or panels sponsored by other Industry leaders such as SIP, DTCC or SIFMA.
• Evaluates new technologies, techniques, and tools.
• Works with TS Director of Support, Testing and Implementation to prepare and facilitate industry presentations on Fixed Income and Equity projects.
• Along with TS business managers, attends meeting with firms to solicit information and gain an understanding of the ways firms work so that FINRA can be better positioned to provide solutions towards increased market transparency.
• Provides technical guidance to Market Operations on TRACE and Equity related question and responds to client inquiries regarding data and interface related issues.
• Responsible for making quick and accurate decisions during system events and directing others in taking corrective action, escalating to upper management and disseminating information externally to notify the industry of events affecting the markets.
• Collaborates with other senior managers in brainstorming and providing creative proposal for solving complex business problems in support of business requirements and FINRA rules.
• Coordinates with the Director of Support, Testing and Implementation to plan and execute all user acceptance testing and to deliver solutions into production seamlessly.
• Assesses business and technical risks from system implementations and provides solutions to mitigate risks keeping business teams and upper management informed on a regular basis.

Other Responsibilities:

• Acts as a mentor and role model to their direct reports and to other junior staff members in Transparency Services, providing guidance and subject matter expertise to help others reach their full potential.

Education/Experience Requirements:

• BA/BS in Information Technology, Finance or Business;
• Ten+ years of experience in the fixed income and/or equities industry. Hands-on system experience with fixed income and/or equity OMS or trade reporting systems.
• Extensive knowledge of industry leading technology best practices
• Must have excellent verbal and written communication skills as well as experience communicating with technical and operations teams.
• Must possess excellent problem solving skills
• Ability to think strategically to implement company-wide initiatives

Work Conditions:

• Standard office environment.
• Extended hours a