What are the responsibilities and job description for the Program Manager position at 4A Consulting, LLC?
Key Responsibilities:
- Lead and manage IT programs and projects aligned with SEC regulations and compliance requirements.
- Oversee the development, implementation, and enhancement of trading platforms, compliance systems, and SEC reporting solutions.
- Ensure on-time and on-budget delivery of IT projects, coordinating with technology, legal, and compliance teams.
- Drive agile project management methodologies, ensuring iterative improvements and regulatory alignment.
- Monitor project risks and dependencies, implementing mitigation strategies to ensure compliance with SEC mandates.
- Ensure all IT programs comply with SEC rules (Reg SCI, 17a-4, XBRL, EDGAR, SOX, etc.).
- Manage the implementation of audit trails, record-keeping, and electronic reporting as per SEC mandates.
- Work closely with compliance teams to align IT initiatives with SEC, FINRA, and SOX regulatory requirements.
- Oversee cybersecurity initiatives, ensuring IT security frameworks align with SEC guidelines (NIST, CIS, ISO 27001).
- Manage third-party risk assessments related to IT vendors handling SEC-regulated data.
- Act as a liaison between IT, compliance, legal, finance, and external SEC auditors.
- Collaborate with CIO, CISO, and senior executives to ensure IT projects support strategic compliance goals.
- Work with technology vendors and third-party service providers to integrate SEC-compliant IT solutions.
- Communicate project updates, risks, and compliance findings to senior leadership and regulatory bodies.
- Oversee the implementation of SEC reporting systems (e.g., EDGAR, XBRL solutions).
- Ensure IT infrastructure is secure and resilient, aligning with SEC cybersecurity guidelines.
- Manage cloud migration strategies for SEC-compliant applications, ensuring data encryption, access control, and disaster recovery planning.
- Drive IT automation efforts for real-time monitoring, reporting, and compliance tracking.
Required Qualifications:
- Bachelor s/Master s degree in Information Technology, Cybersecurity, Finance, or related field.
- 8 years of IT program/project management experience, with a strong focus on SEC-regulated environments.
- Proven expertise in SEC compliance, IT risk management, and financial regulatory technology (RegTech).
- Experience with SEC regulations such as Reg SCI, 17a-4 (electronic records), EDGAR filing, and SOX compliance.
- Strong knowledge of cybersecurity frameworks (NIST, CIS, ISO 27001) and IT governance best practices.
- Hands-on experience with financial systems, SEC reporting tools (e.g., XBRL, EDGAR), and regulatory data management.
- Proficiency in Agile, Scrum, and Waterfall methodologies for IT program execution.
- Experience managing cloud-based IT infrastructure (AWS, Azure, or Google Cloud Platform) in regulated environments.
- Strong leadership, communication, and stakeholder management skills.
Preferred Qualifications:
- Certifications such as PMP, CSM, ITIL, CISSP, CISA, or CRISC.
- Experience working with financial institutions, broker-dealers, or asset management firms.
- Familiarity with AI/ML applications in regulatory technology (RegTech) for compliance monitoring.
- Experience in blockchain, smart contracts, or digital securities regulation.
