Program Manager

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 :

Preferred Qualifications :