Senior Director, Cyber and Analytics Unit - All FINRA Locations

The Senior Director within FINRA’s Cyber and Analytics Unit (CAU) leads the Cyber-Enabled Fraud (CEF) team responsible for the oversight of the planning and execution of cyber-enabled fraud investigations involving member firms and the Analytics Threat Targeting team, which conducts threat identification analysis and proactive targeting using data analytics to support the department in the planning and execution of complex and special investigations and examinations.

The CEF team oversees the work across the core functions of a FINRA Specialist team, which includes conducting investigations, examinations, advising on examinations, and providing staff training.

Other support may include informing industry and external stakeholders, monitoring the area of specialization, assisting key internal stakeholders and participating in special projects.

The CEF team also provides consulting support to FINRA’s Risk Monitoring and Examination teams during all phases of cyber-enabled fraud investigations.

This is a senior level leadership position supervising a team of highly skilled cyber, fraud and analytics specialists and will be expected to develop and execute a strategy to accomplish department objectives, define individual staff roles, provide general direction and guidance, develop skillsets of staff, and identify professional development opportunities for staff.

Essential Job Functions:


* Leads a team of highly skilled Cyber Security Investigators, providing guidance and feedback to staff, developing staff’s skills and depth of knowledge, and creating and fostering a team-oriented culture.


* Identifies and develops regulatory strategies around new and emerging risks and threats and supervises the execution of examinations, consultations and regulatory work as they relate to those identified risks


* Leads and consults on cyber security and technology-related thematic reviews and/or Cause investigations.


* Leads the cyber security or technology risk assessment process (e.g.

identify high risk firms, monitor trends in breaches/incidents that may have an impact on member firms).


* Provides subject-matter expertise to external parties, including firm membership, on high-level regulatory issues.

This could include panel discussions at conferences, regional roundtables, issuing information notices to firms or discussing effective practices.


* Ensures timely training, support, and intelligence is delivered to FINRA’s Risk Monitoring, Examination and other departments as needed.


* Collaborates with the Member Application Program (MAP) team to analyze new firms related to their technology and cyber risks and controls; Provide general consultative advice on cyber security concerns.


* Regularly collaborates with other regulators or law enforcement agencies such as the SEC, FRB, States, CFTC, NFA, FBI, DHS and other stakeholders.


* Reviews and approves exam-related reports and letters (i.e.

strategy, exit,...