MISSION AND SUMMARY OF POSITION
The Chief Technology Officer (CTO) is an executive level position reporting to the President and Chief Operating Officer. The CTO is responsible for managing the following organizations: Software Development, Information Technology (desktop support), IT Server & Network Support, and IT Systems Integration. The CTO is expected to define and implement technology strategies designed to increase service to affiliated firms, increase efficiency of affiliated firms and internal staff, and manage risk in a regulated financial services organization. The CTO will be involved with analyzing and reworking existing business processes, identifying and developing the capability to use new tools, reshaping the enterprise's physical infrastructure and network access, identifying and exploiting the enterprise's knowledge resources, and communicating 1st Global’s technology capabilities to our affiliated firms. The CTO is expected to achieve results within defined resource allocations and to assist senior management in determining the appropriate level of resource allocations. The CTO is also expected to deliver the required return on investment of technology expenditures.
SOFTWARE DEVELOPMENT
The CTO is responsible for defining a system development methodology that results in an optimal combination of speed to market, delivery of required objectives, and utilization of resources. The CTO is expected to manage a team of software developers and supervisors to deliver enterprise wide technology for use by internal staff (operations, sales, compliance, marketing, HR, executive) as well as by external business partners, 1st Global’s affiliated firms. The CTO will be expected to utilize internal resources as well as identify and utilize external resources to deliver applications and systems that will improve service, efficiency and sales.
INFORMATION TECHNOLOGY (Desktop Support, IT Server & Network Support, and IT Systems Integration)
The CTO is responsible for maintaining physical infrastructure so as to create an optimal combination of uptime, scalability, performance and costs. The CTO is responsible for identifying and implementing hardware and services designed to achieve organizational objectives. This includes networks, telephone systems, servers, desktops as well as vendors. A critical objective is maintaining robust Business Continuity Plans in a regulated financial services firm.
SECURITY & RISK MANAGEMENT
The CTO is responsible for maintaining an environment that prevents loss of data or unauthorized access to data. The CTO is also responsible for maintaining physical security of all corporate offices. The CTO is responsible for identifying strategies that mitigate risk to data, systems and physical locations in compliance with regulatory mandates and industry best practices. The CTO is expected to be the organizational authority on risk management in this environment.
TECHNOLOGY COMMUNICATION
The CTO is responsible for leading all external and internal communication efforts as they relate to the understanding and adoption of technology capabilities, both those developed internally as well as those technologies provided by approved or integrated third parties. The CTO is expected to organize and deliver communication with home office staff, advisors, administrative assistants and marketing personnel as it relates to technology. These communications will include, but are not limited to, call center support for technology questions, proactive learning delivered through webcasts, print and other media, and presentations at internal and external training events and conferences. In this leadership role the CTO will be supported by various 1st Global organizations, including Learning & Development, Wealth Management Services, Marketing & Communications and the Project Management Office.
KEY JOB FUNCTIONS
Specific responsibilities include, but are not limited to:
STRATEGY AND PLANNING
Ø Define, update, and implement IT, Software Development and Security strategy.
Ø Manage IT across the enterprise.
Ø Align IT, Software Development and Security objectives and programs to enterprise objectives and strategies.
Ø Specifically define appropriate architecture for improving capabilities and maximizing operational efficiency.
Ø Create and manage to the annual technology budget achieving required return on investment.
CONTROL
Ø Align the IT and Software Development teams with enterprise performance objectives.
Ø Control performance objectives and overall IT and Software Development budgets.
Ø Define metrics based on overall business objectives.
Ø Manage staff to provide and adhere to deadlines, features and costs.
SERVICE
Ø Acquire software/hardware.
Ø Select, manage, and control IT providers.
Ø Manage outsourced services.
Ø Maximize the mix of in house versus outsourced services.
Ø Establish strategic service provider partnerships.
Ø Provide impeccable customer service to internal and external clients.
COMMUNICATION & LEARNING
Ø Lead the delivery of technology communications.
Ø Establish learning standards for IT and Software Development organizations.
Ø Integrate IT and Software Development organizations with the business; ensure business knowledge is prevalent among IT and Software Development staff.
Ø Communicate directly with staff and clients regarding technology use.
Ø Ensure competencies of key IT and Software Development staff in delivering communication to staff and clients using any and all communication methods (phone, in-person, written, webcast, video, etc.).
RISK MANANGEMENT
Ø Align IT risk management within IT and Software Development productivity objectives.
Ø Align IT risk management with enterprise-wide risk management.
Ø Set policies to ensure privacy of data and security of physical office.
Ø Collaborate with Risk Management (Internal Controls) Department on testing / validation of risk management objectives.
BUSINESS PROCESS
Ø Defer to enterprise requirements.
Ø Work with Project Management Office to obtain business objectives and priorities.
Ø Establish System Development Methodology (SDM).
Ø Optimize and design enterprise processes via IT and Software Development.
Ø Define and adjust IT, Software Development and Security standards and technologies.
STRATEGIC IT, SOFTWARE DEVELOPMENT AND SECURITY INITIATIVES
Ø Plan and manage strategic IT, Software Development and Security initiatives.
Ø Manage IT and Software Development applications portfolio.
Ø Manage IT, Software Development and Security projects.
Ø Include governance with business process executives.
ENTERPRISE INFRASTRUCTURE AND APPLICATION
Ø Define standards and architectures.
Ø Consolidate the IT, Software Development and Security process across the enterprise.
Ø Optimize costs of services through a mix of internal and external resources.
QUALIFICATIONS
KNOWLEDGE OF:
Ø Principles, applications, and techniques of electronic data processing systems.
Ø Computer systems design, programming, and operations.
Ø Computer hardware and software systems planning and technical support functions.
Ø Organization, management, and control of complex computer equipment and data processing facilities.
Ø Principles and practices of business.
Ø Principles and practices of personnel management and supervision.
ABILITY TO
Ø Perform a broad range of supervisory responsibilities over others.
Ø Establish a plan for and use technical and staff resources.
Ø Work cooperatively with others.
Ø Communicate orally in the English language with customers, clients, and the public using a telephone and in a one-to-one or group setting.
Ø Produce written documents in the English language with clearly organized thoughts and proper sentence construction, punctuation, and grammar.
Ø Review the work products of others to ensure conformance to standards.
Ø Comprehend and make inferences from written material.
EXPECTED TO POSSESS
Ø 3 or more years prior experience as Chief Technology Officer or Chief Information Officer.
Ø Bachelors degree in Engineering, Mathematics, Business Administration, Computer Sciences, Management Information.
Ø Systems or a related field or equivalent experience.
Ø Prior financial services distribution channel experience required.
Ø FINRA Series 7.
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