Vice President, Product Management, Transparency Services

The VP, Client & System Management (CSM), Transparency Services, has the direct responsibility for managing the Critical Reg.

SCI systems, as well as supporting systems, including oversight & monitoring, requirements, delivery, and budgeting.

This is a real-time processing environment, requiring around the clock monitoring and responsiveness as well as very specialized skill set.

The role is responsible for managing significant technical, operational and reputational risks for FINRA, as any technical or operational problems are immediately visible, and have significant impact, to virtually all market participants.

The VP will serve as a key member of Transparency Service’s senior management team and partner closely with FINRA Technology, Market Regulation, and other key stakeholders across the organization, as well as with the SEC, the Fed, and other external regulatory agencies.

The VP is a key driver setting strategic direction and enterprise approaches to FINRA’s transaction processing infrastructure, data governance, and other related frameworks, while being the lead role in the implementation and oversight of those facilities & frameworks. Essential Job Functions :

• The VP Client & System Management, Transparency Services, is responsible for ongoing operational excellence of the CSM function.

The VP conducts annual planning, organizes and coordinates the CSM activities and responsibilities, ensuring efficient and effective management.

systems for reference data and corporate actions processing).

This includes directing and overseeing the development and testing & maintenance activities of the trading engine vendor to ensure that the deliverables are on time and within budget.

Acts as the lead decision maker for all technical design decisions related to MPP, and negotiates with the vendor to arrive at the optimal technical solution(s).

The position is responsible for overseeing and directing the primary vendor (Nasdaq, currently under a nine-year, $77M contract) as well as contracts related to the service (such as data procurement, connectivity contracts and charges, etc.).

The VP actively participates in contract negotiations, defining deliverables and scoping costs to arrive at an optimal arrangement for FINRA, and identifies creative, technology-based opportunities to improve service and to reduce costs with enterprise technology teams, business partners and vendors.

The VP is responsible for providing technical strategic direction on all new TS business and Market Operations initiatives, and to lead activities on all business proposals with both internal and external parties; setting direction for supporting systems managed by FINRA Technology, as well as interfacing & collaborating with, and providing or seeking guidance from, Office of General Counsel, Office of Compliance and Ethics, Internal Audit, Market Regulation, Finance and others on issues related to system design and deliverables, SEC oversight and audit support, budget and cost control, etc.

SCI, and represents all aspects of the facilities with regards to continuous compliance as well as SEC and FINRA IA & InfoSec inspections.

Besides the MPP “engine”, this includes requirements for FINRA’s Reference Data Management System (RDMS) and the Transparency Services Trade Reporting and Quotation data repository (MPPR) from conception through launch and ongoing enhancement, as well as the introduction of a new Corporate Actions Management system. Other Responsibilities :

Expansive market and operations knowledge of : TRF, ADF, OTCE and Trace.

Project experience on business operations re-engineering.

Extended hours and some travel may be required. 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 $175,600, Maximum Salary $345,700 CO / HI / MN / VT

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 www.finra.org / careers into your browser to reach our site directly. FINRA 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 EmployeeRelations@finra.org. 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

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.

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 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 EmployeeRelations@finra.org. Please note that this process is exclusively for inquiries regarding application accommodations. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws. 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. ©2025 FINRA.

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Salary : $175,600 - $345,700