Director of Technology: GenAI Implementation and Support

FINRA • Full-time • Rockville (Gira), United States of America • 3d ago

The Director of Technology: GenAI Implementation and Support is generally autonomous in their oversight and active management for a Technology program and/or practice area and most often reports directly to a Senior Director or Vice President.

Primary Responsibilities

Lead a team of data scientists, AI engineers, and ML engineers specialized in GenAI solution assessment, design, implementation, evaluation, and monitoring, providing thought leadership and direction on methodology and process, constructive feedback on associated work products, and coaching for individual development.
Coach data scientists in the evolving role of GenAI evaluation and quality assurance, helping them understand and communicate the critical value of their evaluation expertise in ensuring predictable, high-quality GenAI solutions.
Partner with teams across Technology to provide expert technical guidance, exploratory data analysis support, and hands-on implementation resource support for GenAI based development, working to deliver innovative solutions that drive regulatory excellence. More generally, educate teams on the differences between traditional software engineering practices and GenAI implementation.
Partner with the regulatory AI assistant team to enhance, streamline, and accelerate integration of MCP-based agents and tools developed by other Technology teams.
Coach Technology teams to view AI governance as a risk management enabler rather than an innovation barrier. Work with teams to address governance requirements proactively during the lifecycle rather than post facto. Provide feedback on opportunities to improve effectiveness and efficiency of AI governance processes.
Manage the GenAI model peer review process, coordinating detailed methodology reviews – including optimization techniques, evaluation frameworks, quality metrics, and monitoring strategies – for GenAI initiatives and ultimately ensuring a high degree of confidence in the performance and reliability of solutions deployed to production.
Direct the development and implementation of frameworks for quantifying and communicating GenAI solution value to senior leadership, enhancing basic efficiency metrics with dimensions like quality, risk reduction, and strategic alignment.
Partner with business executives to help articulate their vision for GenAI-enabled organizations and translate these visions into prioritized technical roadmaps and implementation strategies.
Support the evaluation and operationalization of AI/GenAI engineering capabilities, especially within the AWS and Google Cloud ecosystems, like AWS AgentCore and MCP-based agent development.
Provide thought leadership in development practices for GenAI-based solutions and opportunities to develop shared GenAI capabilities that will benefit all of Technology. Partner with the GenAI architecture working group to define implementation patterns and best practices, ensuring decisions are informed by practical implementation experience.
Assist in the curation of GenAI development tracks to upskill software engineers with critical AI engineering mindsets, skillsets, and tools sets.
Maintain strong collaborative relationships with the Office of the Chief Data Officer and Technology Operations on AI-ready data standards, document processing pipelines, and MCP-based agent/tool management.

Process and Operations

Deliver results based on FINRA annual goals, department goals, and management requests.
Proactively communicate status, value delivered, risks, and issues to senior Technology leadership and business stakeholders. Develop risk remediation plans and clearly articulate the EDA, evaluation, and monitoring investments required for enterprise-grade GenAI solutions.
Develop and maintain collaborative working relationships with peers inside and outside of Technology.
Work with outside vendors to negotiate services and product agreements.
Coordinate financial activities to fund operations, maximize investments, and increase efficiency for a program, project and/or practice area.
Serve as backup to more senior level management when needed.
Assist with adherence to technology policies and comply with all security controls.
Ensure work products meet or exceed FINRA standards and risks are effectively managed.
Participate in periodic disaster recovery, business continuity planning, Sarbanes Oxley, and other compliance testing and reporting.

Resource Management

Foster an environment where healthy debate and intellectual rigor are valued. Encourage team members to challenge assumptions, surface implicit biases, and engage substantively with technical trade-offs rather than defaulting to agreement.
Identify and hire GenAI talent to build the capacity and efficacy of the team.
Work with team members to set clear performance expectations, monitor progress, and provide candid feedback on opportunities for improvement. Assess annual performance relative to goals and performance of other team members.
Partner with team members to create and maintain individual development plans and complete required training.
Coordinate resource allocation to projects and assignment of subordinate staff.
Consistently demonstrate the FINRA values of collaboration, expertise, innovation, and responsibility. Coach team members to model the same behaviors.
Ensure effective presence, both in-person and virtually, to execute and collaborate in furtherance of FINRA’s mission of investor protection and market integrity.

Education/Experience Requirements:

Bachelor’s degree in Computer Science, Information Systems or related discipline with at least ten (10) years of related experience, or equivalent training and / or work experience; Master’s degree and past Financial Services industry experience preferred.
Minimum of 5 years of technical project, program and / or practice area oversight.
Past experience influencing decisions and building conscience across internal and external partners
Knowledge of business, technology and management principles involved in strategic planning, organizational change management, resource allocation, human resources modeling, leadership technique, and coordination of people and resources.
Experience must include direct experience in one of the following areas: strategy, software development, operations, engineering, development services, information security, and / or compliance.
Extensive knowledge of industry leading technology best practices including familiarity with technology methodologies including at least one of ISO-9000, ITIL, Agile and iterative.
Excellent written and verbal technical communication skills.
Demonstrated ability to develop effective working relationships and leverage those relationships to improve the quality of work products.
Must be able to identify, evaluate and recommend processes, tools, technologies and / or products to meet business and budgetary requirements.
Should be well organized, thorough, and able to handle competing priorities.
Ability to maintain focus and develop proficiency in new skills rapidly.
Ability to work in a fast paced environment.

Work Conditions:

Hybrid work environment, with defined in-person presence requirements.
Occasional travel and extended hours may be required.

For work that is performed in CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. 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 market considerations.

CO/FL/TX: Minimum Salary $131,100, Maximum Salary $254,000

IL/PA: Minimum Salary $144,000, Maximum Salary $279,500

MA/MD/VA/Washington, DC: Minimum Salary $150,600, Maximum Salary $292,300

NY/NJ: Minimum Salary $150,600, Maximum Salary $305,000

#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

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