The Vice President of Enforcement Data and Analytics (D&A) will be a key member of the Enforcement senior leadership team and provide critical leadership and strategic direction in enabling Enforcement's D&A initiatives and driving analytically-enabled and data-informed decision-making for investigations and disciplinary action programs ("regulatory programs"). This role will lead the enablement and adoption of innovative analytic tools, models, and data sources in partnership with FINRA's broader regulatory operations, Data Management and Governance Office, and Technology to enhance FINRA's ability to identify, target, investigate and bring formal actions to address key risks, threats, and FINRA rule and Federal securities law violations in the brokerage industry.

　　Essential Job Functions:Serve as a key member of the Enforcement senior leadership team and facilitate strong collaboration between department teams, Technology and the Office of Regulatory Economics and Market Analysis.Stay abreast of brokerage industry developments, risks and trends, and liaise with analytics experts across FINRA and the broader industry to be at the forefront of analytical concepts, tooling, and ideas.Lead the timely development, execution, and management of Enforcement-approved analytics and data strategy designed in coordination with FINRA's larger regulatory operations and Technology to achieve operational efficiency and effectiveness throughout the regulatory programs.Provide strategic and operational leadership to Enforcement's analytics team to ensure the needs of the Enforcement department are being met on a timely basis with an exceptionally high level of quality.Partner with Enforcement's senior leadership team to develop and refine investment priorities and resourcing necessary to advance the department's strategic goals and objectives.Lead and manage a team of data analysts and data scientists responsible for developing and executing innovative advanced analytics, models, and visualizations to enable, inform and drive the regulatory programs.Support Enforcement's senior leadership team in oversight of the active project portfolio and ensure projects are progressing appropriately. Where relevant, working with the appropriate leadership to diagnose and enable projects that have fallen behind or are not delivering on expectations.Solicit and act upon feedback from peer leaders within the Enforcement senior leadership team and leaders in other FINRA departments that access D&A services to understand and improve team performance.Act as an advocate, within Enforcement and more widely, on issues of data and technology enablement and how D&A can be used to achieve investor protection and market integrity.In partnership with FINRA's Data Management and Governance Office, develop and implement an overall data strategy for Enforcement to identify how it can help leverage more value from existing data sources in-house as well as understanding what new data sources FINRA should be pursuing to improve the effectiveness of its regulatory programs.Oversee a robust data and analytics advocacy program within Enforcement to ensure all staff are aware of the available resources and how they can better utilize data in their day to day work.Oversee strong data stewardship for those datasets within Enforcement's responsibility in coordination with the development of FINRA's enterprise-wide approach to data management and governance.Identify potential new data resources and partner with teams within the Office of Chief Legal Officer and Technology to shepherd the process of bringing data in-house including any contracting and access issues and the process of ingesting data and integrating it into FINRA's data structures.Partner with Enforcement's Chief Counsels, Directors, attorneys, investigators and other users throughout the department to ensure model outputs are accurate and delivering value.Oversee data governance and model risk management for the department to ensure data analytics and technology solutions remain optimal.Partner with Enforcement's Chief of Staff in the development of department-wide reporting, performance and metrics designed to identify, among other things, program effectiveness, trends, and outliers.Liaise and create partnerships with other regulatory authorities, technology companies, and academia to stay abreast of new regulatory technology and share best practices.Participate in ad hoc teams (Cross-Enforcement, Cross-FINRA) and mobilize D&A resources as needed in support of FINRA.Actively promote and champion diverse and inclusive teams.Recruit, retain and develop staff consistent with the needs of the business and FINRA's values.Support and enhance staff training that develops key skills and encourages continuous professional development.Create a high performing culture of employee engagement and development consistent with the overall FINRA culture and values.Role model, encourage and reinforce teamwork and a culture of data-led, analytics-enabled decision-making through the development of key partnerships and collaboration across FINRA. Partner with program leads, users, and others throughout the organization to ensure technology, analytics and model outputs are accurate, consumable and delivering value to the programs.Additional Job Description Duties:Represent FINRA at conferences and other external speaking events.Create and update presentations, reports, project plans and metrics for various audiences, including at the executive level.Education/Experience Requirements:Bachelor's degree in Engineering, Economics or a quantitative field.A minimum of 10 years of leadership in program delivery, technical, Data or Data Science functions, preferably with a regulatory focus gained within a financial institution, regulatory organization or professional services firm.Deep expertise and experience in implementing analytic tools and methodologies including the application of artificial intelligence, machine learning, deep learning, and other tools and models critical to best practice analytics.A solid understanding of equity, options and fixed income markets and the regulations that govern them.Excellent leadership skills, including the proven ability to attract, retain and develop talent across a team of individuals.Knowledge of, and experience with, identifying and using data to improve effectiveness of broker-dealer compliance, modelling and testing programs.Proven record of acting independently in an unstructured environment to identify and address challenges, seize opportunities, develop new initiatives, and strengthen existing programs for successful delivery of business value.Ability to navigate a complex organization with multiple stakeholders and decision makers. Ability to lead through influence rather than control.Strong collaborator and team builder, with excellent written and verbal communication, interpersonal, and presentation skills.Ability to effectively communicate complex technology, analytical, or data issues to multiple audiences with varying degrees of subject matter expertise within FINRA and/or externally.Impeccable integrity and ethical behavior with a strong commitment to transparency.Exceptional organizational skills, with an ability to administer multiple complex assignments concurrently and execute against tight deadlines.Proven record of making informed risk-based decisions in a timely manner.For work that is performed in CA, CO, HI, 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 Salary $175,600, Maximum Salary $345,700

　　Colorado/Hawaii: Minimum Salary $175,600, Maximum Salary $345,700

　　New York, NY: Minimum Salary $175,600, Maximum Salary $345,700

　　Washington: Minimum Salary $175,600, Maximum Salary $345,700

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　　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

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　　Based on full-time schedule

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