Lead Enterprise Data Steward, Technology at FINRA in Rockville, Maryland

Job Description:

The Lead Enterprise Data Steward of the Data Management and Governance Office is responsible for utilizing relevant data expertise and drives coordination by establishing processes for how stewards execute their activities (the specific work steps, tools used, etc.), and how they communicate their actions to their peer stewards and other business users/roles. The role works closely with key partners across the organization in advocating for and promoting education of staff on data access, literacy, stewardship and governance to senior management, technology, other data and analytics teams across FINRA. The role also helps data stewards in the Data Stewardship Program to interpret policies created by the Board with the goal of establishing clarity and quality in policy enactment, and executing the strategy on leveraging data and intelligence to benefit the regulatory functions performed throughout the organization.

Essential Job Functions:

• Represent enterprise reference and cross-domain data and utilize subject matter expertise to serve on and facilitate discussions on several data-related working groups, committees, business cases and other projects/initiatives.


• Partner with the Enterprise Data Privacy office as needed to analyze industry data protection and privacy trends, new protection and privacy regulatory requirements and as a result, potential new stewardship activities along with collaboration to monitor and assess organizational data for value, potential risk and ethical implications of using or not using data.


• Partner with the Cyber & information Security office(CISO) to understand and influence the execution of data security frameworks as the CISO is the first line of defense for security.


• Execute data protection and security policies with the data engineering teams


• Promote data awareness, drive evolution of data and creation of cross-domain and complex datasets.


• Facilitate workshops as required to obtain input from multiple Information Managers, Records Managers, Business Data Stewards, and Data Experts of complex derived data sets across departments.


• Document assumptions and risks, early in design cycles, for new complex derived/cross domain data sets intended to be shared as enterprise resources


• Identify data quality and architectural dependencies resulting from data transformations between source data and resulting derived data sets.


• Design and review requirements for complex derived/cross domain datasets based on workshops and obtain approval for execution, from the business data stewards.


• Ensure metadata and data consistency, track data usage, and monitor outcomes of these activities


• Ensure ongoing accuracy and completeness of the business units’ and FINRA’s data catalog including identification of critical data sets and data attributes.


• Inventory, review, and assess, shared derived data sets  and create Dashboards and metrics to measure metadata management compliance by the businesses


• Design, obtain approvals, and maintain the data taxonomy and its related artifacts


• Foster a data-driven culture and decisioning process in the DMGO and across FINRA


• Convene and facilitate and influence Data Stewardship Chapters – driving the agenda and collaborating with data stewards to bring items of priority for discussion


• Communicate stewardship initiatives, approvals and updates to the data ecosystem, create and share metrics regarding the impact of the program via newsletters, marketing activities like roadshows and spotlights


• Collaborate and influence  management and individual contributors across FINRA to identify and leverage new data sets and sources and develop strategies for data re-use.


• Collaborate and influence business unit data stewards on the strategy to drive optimization of data and intelligence usage and data products across the business


• Support identification and documentation of data assets.


• Influence formulating a strategic, global view of data needs, both current and future, across FINRA and help define operational, technical , stewardship and governance requirements of your data.


• Influence and help  formulate and determine organizational business cases for data and support scoping and iterating of minimum viable data assessments for partnerships and contribute to the development of funding proposals for data as needed.


• Research and provide input on the selection and use of both 3rd party data, including commercially available, sets and in-house data- related objects.


• Drive requirements gathering activities and craft and obtain approvals for the business unit’s data quality dimensions and work with technology and product to get the quality rules prioritized on their roadmaps for implementation.


• Participate in and influence crafting DMGO practices and policies around data cataloging, data quality, and data management.


• Owns impact analysis for existing data access and sharing controls (network access groups, group members) resulting from data sharing assumptions for enterprise-class shared data sets and engages Information and Records Managers as needed.


• Identifies, assesses and conforms to regulatory data mandates, and resolves issues related to data retention schedules in collaboration with the Records Manager.

Other Responsibilities:

• Additional duties as assigned.

Education/Experience Requirements:

• Bachelor’s degree and a minimum  seven (7) years of related work experience, including familiarity with concepts related to information systems; data analysis, management, science, or architecture; or an equivalent combination of education and relevant experience.


• Strong knowledge of regulatory data and financial intelligence provided to FINRA from member firms, such as transactional data and financial information.


• Experience with Financial Services data including those provided by third-party vendors desired.


• Advanced knowledge of how to create data definitions, standards, determining business data requirements


• Advanced knowledge of design thinking and implementing these methodologies to run effective data workshops as needed


• Experience with how to improve data quality and resolving data gaps and identify deficiencies


• Excellent communication skills with the ability to convey information to both the business and technology


• Highly Capable of being decisive and manage risk


• Strong critical thinking skills and a problem solver


• Excellent interpersonal skills and is motivated to build and sustain relationships


• Working knowledge of various data programming languages, and statistical analysis e.g., SQL, Python, etc. required.


• Excellent interpersonal and communication skills, including presentation skills.


• Ability to work independently on complex and prolonged projects.

Working Conditions:

• Work is normally performed in an office and/or hybrid environment.


• Occasional travel and extended hours may be required.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, and WA the chart below outlines the proposed 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/NY, NY: Minimum Salary $129,800, Maximum Salary $235,500

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

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

*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.

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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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