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Date Posted: 2/7/2019

Job Snapshot

Job Description

The role of the Information Security Manager is to develop, lead and manage the technology risk management and compliance efforts for 1st Global. They will partner heavily with Regulatory Compliance and IT Infrastructure to create and execute against an IT security roadmap to mitigate information security risks to 1st Global and their advisors. Additionally, they will work collaboratively with all internal departments to create and maintain a culture of information security compliance throughout 1st Global.

Detailed Description

Essential Duties/Responsibilities:

  • Author and conduct compliance testing and remediation for policies and procedures pertaining to IT security.
  • Partner with the Compliance department to ensure that 1st Global is in compliance with IT security and privacy according to industry regulations.
  • Update and execute upon an IT security road-map for 1st Global. This will include researching and making system recommendations for IT security enhancements.
  • Provide IT security training for Employees, Advisors and Partners/Vendors of 1st Global.
  • Provide security incident response to both internal and advisor facing issues.
  • Evaluate vendor risks in relation to IT security, including contract reviews and leading risk assessment surveys.
  • Other duties as assigned.

Minimum Qualifications

Minimum Education Required:

  • Undergraduate degree from an accredited four year institution or an equivalent combination of education and experience sufficient to successful perform the essential functions of the job.

Licenses/Certifications Required:

  • ​Series 7 (or willingness to obtain it within 90 days of hire) and 24 (or willingness to obtain it within 6 months of hire).
  • One or more of the following: Certified Information Systems Security Professional (CISSP), Certification in Risk and Information Systems Control (CRISC), Certification as an Information Security Manager (CISM).

Minimum Specific Experience Required:

  • ​5+ years of security leadership experience creating and maintaining working partnerships with software organizations in the financial sector.
  • ​3+ years of management or oversight experience (includes budgetary management, technical management, project delivery and resource management).

Knowledge, Skills and Abilities:

  • Experienced leader with a proven track record in regulatory oversight and risk management of software in the regulated financial sector.
  • Excellent communication, facilitation, issue management, mediation, and negotiation skills.  
  • Experience in implementing projects in a complex, heterogeneous environment.
  • Working knowledge of technology focused FINRA and SEC rules, regulations and guidance.  
  • Proven ability to communicate and present to any audience, including C-level executives.
  • Detail orientation, specifically in the review of risk assessment and security based documentation.
  • ​Proven analytical, evaluative, and problem-solving abilities.

Reporting Structure:

  • Manager of others; IT Security Analyst.
  • This role reports into the AVP of Technology.

Physical Demands and Working Conditions:

  • Sit - Frequent
  • Stand, Walk – Occasional
  • Lift/Carry 0-20 pounds – Occasional


  • Estimated % of time required to travel – 5%.

Reasonable Accommodations:

Applicants and employees who require reasonable accommodation to complete the duties and responsibilities described above should notify Human Resources.


The preceding job description has been designed to indicate the general nature and essential duties and responsibilities of work performed by employees within this classification.  It may not contain a comprehensive inventory of all duties, responsibilities, and qualifications required of employees to do this job. Additionally, this document is not an employment contract. The company reserves the right to modify job duties or job descriptions at any time.