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FINRA is seeking a well-qualified individual for our Associate Director, Test Security opening in Rockville, MD To be considered for this position, please submit your resume through our career site at - no phone calls, please.

Major Purpose of Job:

The Associate Director of Test Security will serve as the lead for managing all aspects of test security for our qualification examinations, continuing education and client programs. The Associate Director will be responsible for such tasks as proactively addressing security risks, identifying vulnerabilities, responding to and investigating issues identified from incident reports and data forensics analyses, enhancing test center audit procedures, establishing and maintaining test security policies consistent with evolving testing industry security standards, and conducting surveillance and monitoring of various test preparation websites.

Essential Job Functions:

• Serve as the liaison to Sr. Management, Central Review Group, District Offices, and clients for all test security related matters. Work closely with enforcement on regulatory actions and provide litigation support to legal counsel in preparation for trial and collaborate on the formulation of individual cases.
• Manage and coordinate test security policies and determine appropriate measures to increase the security of our exam and CE programs.
• Institute and oversee a formal process to identify and prioritize security risks and vulnerabilities.
• Lead the security incident response team with oversight of the planning, implementation, documentation, resolution and remediation of security investigations.
• Conduct preliminary investigations into possible security breaches by working closely with staff and vendors to collect and organize initial evidence. Maintain effective and accurate records of investigations to ensure that documentation supports conclusions.
• Collaborate with the Measurement Services Unit to conduct and coordinate routine data forensics to uncover high-risk firms or individuals for further investigation
• Monitor exam administration activity for indications of test fraud and theft. Secure timely reports from the test delivery vendor of irregularities during test administration.
• Maintain formal monitoring of 'exam prep' materials on the Internet and elsewhere (e.g., courses or other exam prep programs) for use of protected exam content (e.g., texts, guides, practice tests, etc.) and coordinate appropriate enforcement measures. Investigate potential infringement of intellectual property.
• Make recommendations to Sr. Management for security policy changes and provide reports on a periodic basis to keep Sr. Management informed of security related activities, security incidents, and security trends
• Provide regular test security training to staff, including security responsibilities associated with exam development, exam publication, exam administration, and exam data management.
• Review and enhance security audit procedures with our test delivery vendors
• Represent FINRA in industry security conferences and committees.

Education and/or Experience:

• B.A. or B.S. from accredited college or university
• Five to seven years of related work experience in security and investigation (preferably in the testing industry)
• Experience conducting multi-layered audits to foster continuous improvements in security processes and systems, including secret shops
• Subject matter expertise in operational security and intellectual property issues
• Strong interpersonal and communication skills(verbal and written), with the ability to deal effectively with people, across organizational boundaries and other stakeholders, resolve issues, make decisions, facilitate and support change, and deal with adversarial people or situations.
• Strong analytical and investigative skills to be able to self-direct the proper and most efficient path to reaching a conclusion. Proven hands-on ability to perform basic to moderately complex analytical projects.
• Strong organizational skills, with the ability to work under tight deadlines.
• Must be proficient with all standard office software.
• Certified Fraud Examiner (CFE) certification preferred.

Working Conditions:

• Standard office working conditions
• Travel as necessary (approximately 20% travel).

Working Conditions:

• Work is performed in standard office environment.
• Occasional travel may be required.
• Some overtime may be required.

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.

To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.

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 accommodation help line at (240) 386-4865. Please note that this number is exclusively for inquiries regarding application accommodations.

In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.

Please note: 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. As standard practice, employees must also complete FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism.

About FINRA

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect America's investors by making sure the securities industry operates fairly and honestly. All told, FINRA oversees nearly 4,600 brokerage firms, about 164,000 branch offices and approximately 632,000 registered securities representatives.

FINRA's independent regulation plays a critical role in America's financial system and touches virtually every aspect of the securities business-from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. We also perform market regulation under contract for the major U.S. stock markets, including the New York Stock Exchange, NYSE Arca, NYSE Amex, The NASDAQ Stock Market and the International Securities Exchange.

FINRA has approximately 3,000 employees and operates from Washington, DC, and New York, NY, with 20 regional offices around the country.

In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets.

Find out more about us and how we work-and view our current openings-at .

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 is an Equal Opportunity and Affirmative Action Employer

©2013 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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