Director - Regulatory Programs

SUMMARY: Reporting to the Senior Vice President of Regulatory Programs, this position is responsible for assisting in the implementation of the Exchange’s Regulatory Strategic Plan, as well as management of projects that are multi-disciplinary in nature. Position requires the coordination of projects from the initial planning stage through implementation and completion. Director shall oversee all project activities to ensure that the goals and objectives are accomplished on time and within budget. Create requirements documents and requests for proposals as needed. Frequent communication with senior management and department heads regarding project plans, milestones, deadlines, and accomplishments. Preparation of status reports and tracking mechanisms for various regulatory programs, and projects. Review documents and reports related to surveillance of PHLX and other securities markets, and technology projects including, but not limited to, trading systems, database design, and surveillance systems. Working knowledge of SQL required in order to create, edit, and use database programs for tracking and reporting department work as needed.

RESPONSIBILITIES INCLUDE:

·Develop goals/objectives for projects relating to regulatory requirements and improvements. Manage project plan to determine timeframe, funding limitations, procedures for accomplishing project, and staffing requirements for various phases of the project.
·Confer with project team, and senior management as necessary, to outline work plan and create detailed task assignments per department.
·Complete, direct and coordinate activities of the project team to ensure project progresses on schedule and within prescribed budget.
·Prepare status reports/communicate project status to project team, senior management, and other audiences regularly.
·Meet with project team and committees of the PHLX to ensure that project issues are being addressed.
·Serve as primary point of contact on project with internal and external stakeholders.
·Create, edit, and use databases and other tracking programs as needed.
·Maintain full and accurate documentation of all project information, including internal and external project communication.
REQUIREMENTS
EDUCATION AND EXPERIENCE:

·Undergraduate degree in business, computer science or a related area required. Masters degree is a plus. Minimum of 5 years project management and/or business analysis experience in a complex environment needed. Securities industry experience necessary. Regulatory or compliance experience is a plus. Experience with information technology systems development necessary. Direct programming experience is a plus.

SKILLS AND ABILITIES:

·Large-scale project management
·Securities industry/operations and regulatory knowledge
·Management of consultants/vendors
·Cost/benefit analysis
·Proficient computer skills (Microsoft Word, Excel, Project, PowerPoint, Project)
·Excellent communication skills (verbal and written)
·Must be able to work as part of a team
·Must be able to demonstrate Leadership skills and experience

Please include salary requirements when sending your resume.