Job Description:

The Senior Principal, Criminal Justice Information Program is responsible for monitoring, interpreting and applying technical, legal and operational revisions to policies, standards, requirements and other guidelines created by federal agencies such as the FBI and National Institute of Standards and Technology (NIST), and organizations such as the National Crime Prevention and Privacy Compact Council (Compact Council) that impact FINRA’s management of criminal justice information (CJI). This role operationalizes solutions that enable designated Authorized Recipients, which includes FINRA, firms, and regulators, to comply with laws, rules, standards, and policies related to the safeguarding and management of CJI. The operational solutions apply to FINRA’s Fingerprint Program, which encompasses all FINRA personnel, broker-dealers, funding portals and SEC-registered transfer agents, and includes FINRA’s dedicated fingerprint channeler and secondary dissemination of CJI to other designated Authorized Recipients. This role is also responsible for reviewing evolving controls and requirements specified in the Criminal Justice Information Services (CJIS) Security Policy (FBI Policy) and the FBI Security and Management Control Outsourcing Standard for Channeling.

Key responsibilities include:
-Building strong relationships with stakeholders as well as cross-functional partnerships enterprise-wide to review, analyze and interpret documentation and provide recommendations to ensure FINRA’s Fingerprint Program is in compliance with federal requirements.

-This is a high-impact individual contributor that influences how FBI Policy is interpreted and implemented across the enterprise. The Senior Principal will provide strategic thought partnership to business and technology stakeholders and effectively communicate operational and strategic proposals and plans.

Essential Job Functions:

• Independently monitor federal websites for relevant updates on changing laws, rules and policies on CJI, including criminal history record information (CHRI) and personal identifiable information that impact FINRA’s Fingerprint Program.


• Synthesize rules and policies into requirements and controls to map to technical and operational components within FINRA’s Fingerprint Program.


• Implement recommendations that comply with revised rules, policies, and controls while meeting FINRA’s unique outsourcing architectural model.


• Collaborate closely with business and technology stakeholders to drive audit and compliance functions for FINRA’s covered business operations and systems.


• Develop artifacts such as evidence of compliance, and objectives and key results (OKRs) that support a culture of measurement and compliance.


• Develop and manage risk mitigation strategies, including tracking and reporting of compliance and risk-based prioritization goals.


• Responsible for coordinating a collaborative, tactical approach for FINRA to address updated rules, policies and controls related to CJI and compile documentation to serve as evidence of FINRA’s compliance.


• Proactively communicate with senior leadership on interpretations, recommendations, and risk management strategies.


• Provide recommendations to improve the security of CJI, including personal identifiable information and CHRI, focused on risk-based prioritization.


• Advocate for proposed revisions to fingerprint operational workflows impacted by evolving rules, policies and controls.


• Serve as FINRA’s primary point of contact to collect required evidence of FINRA’s fingerprint channeler and participating electronic fingerprint providers to validate ongoing compliance with evolving FBI security requirements and procedures.


• Actively participate in meetings and events concerning FINRA’s Fingerprint Program.


• Collaborate with technology, compliance, internal audit and other departments for awareness of impact to FINRA’s Fingerprint Program.


• Continue training and knowledge on federal rules, policies and controls that directly impact FINRA’s Fingerprint Program.

Other Responsibilities:

• Support multiple priorities in parallel and prioritize competing demands.


• Other duties as assigned.
  

Education/Experience Requirements:

• Bachelor’s degree or equivalent combination of education and relevant experience required. Advanced degree, a plus.


• Minimum of 10 years of project management experience, including minimum of 10 years of professional work experience involving federal requirements related to securing and managing CJI data is required.


• Strong quantitative and qualitative analytical skills.


• Working knowledge of NIST standards including 800-53 and 800-171.


• Proven ability to collaborate and influence to achieve outcomes.


• Demonstrated ability to work independently, manage multiple priorities, adapt to changing priorities, and thrive in a fast-paced environment.


• Strong written and oral communication skills.

Work Conditions:

• General office hybrid work environment.


• Extended hours and overnight travel as needed.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, 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 $124,300, Maximum Salary $235,500

CO/HI/MN/VT*: Minimum Salary $108,200, Maximum Salary $196,200

IL*: Minimum Salary $119,200, Maximum Salary $215,900
Jersey City, NJ/NYC, NY: Minimum Salary $129,800, Maximum Salary $235,500

MA/WA: Minimum Salary $108,200, Maximum Salary $225,700

MD/Washington, DC: Minimum Salary $124,300, Maximum Salary $225,700

NJ: Minimum Salary $119,200, Maximum $235,500

NY: Minimum Salary $108,200, Maximum Salary $235,500

*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.

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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 time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

*Based on full-time schedule

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

You can read more about these restrictions here.

As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

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