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Date Posted: 12/7/2018

Job Snapshot

Job Description

The role of the Manager of Information Security is to develop, lead and manage the technology risk management and compliance efforts for 1st Global Research and Consulting. They will partner heavily with the regulatory compliance organization 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 regard to Industry regulations pertaining to IT security and privacy.
  • Update and execute upon an IT Security Roadmap 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 and 24 (or willingness to obtain them within 120 days 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 in two of the areas noted above).

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

One direct report. 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%