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 and travel may be required.* Frequent use of telephone and PC.For work that is performed in CA, CO, IL, Jersey City, NJ, New York City, NY, MA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the 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**.**CA: Minimum Salary $150,600, Maximum Salary $305,000CO/*: Minimum Salary $131,100, Maximum Salary $254,000IL/*: Minimum Salary $144,000, Maximum Salary $279,500Jersey City, NJ/NYC, NY: Minimum Salary $157,300, Maximum Salary $305,000MA: Minimum Salary $131,100, Maximum Salary $292,300MD/Washington, DC: Minimum Salary $150,600, Maximum Salary $292,300NJ State: Minimum Salary $144,000, Maximum $305,000NY State: Minimum Salary $131,100, Maximum Salary $305,000/*Including positions performed outside the state but reporting to an office or manager in that state.Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.#LI-Hybrid**To be considered for this position, please submit an application.** **Applications are accepted on an ongoing basis.***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 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 Employee Relations team at 240.386.4865 or by email at . Please note that this process is exclusively for inquiries regarding application accommodations. Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, 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, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.Time Off and Paid Leave/*FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous #J-18808-Ljbffr

Created: 2025-09-21