COMPANY OVERVIEW:
R.M. Davis is a leading provider of wealth management and investment advisory services to
clients in more than forty states and five countries. The firm has approximately $6 billion in
assets under management, and 60 employees across two New England offices (Portland, ME
and Portsmouth, NH). We are dedicated to delivering exceptional service for our clients as well
as constantly challenging our technology and operating framework to ensure the effectiveness
of our value chain. We are committed to maintaining the highest level of information security for
our company and clients.

POSITION OVERVIEW:
The position of Director of Technology & Information Security (DTIS) will require being
physically present in the Portland, Maine office and may require periodic visits to the
Portsmouth, New Hampshire office. Candidates seeking fully remote working arrangements will
not be considered.

The DTIS will lead the design and execution of all aspects of the firm’s technology, data
management, and information security strategy, including project management, vendor
management, software life-cycle management, and technology training. The position is a
managerial role, overseeing the IT/Data Management team, technology partners, and project
management team, and reports directly to the Chief Operating Officer. As the firm’s Information
Security Officer (ISO), the DTIS will be responsible for ensuring the Company’s information
security practices align with industry standards, maintaining regular risk assessments, and
owning incident management processes.
The firm employs many vendors, including a managed service provider (MSP), for the support
of technology and information security. The position will manage these vendor relationships
while serving as primary point of contact for all interactions, incident responses, and projects.
This will require working with vendors for procurement, forecasting and budgeting for future
technology initiatives, maintaining equipment lifecycles, and projecting a technology roadmap
out as far as 5 years. Working with vendors to support critical line-of-business applications will
be a key aspect of ensuring the firm can maintain business continuity with minimal impact on
staff productivity. As such, this will also require that the DTIS gain a strong familiarity with all
such software and technology tools.
Additionally, the DTIS will have primary responsibility for all staff communications and internal
training related to technology and information security matters. In this role, the position offers
the opportunity to facilitate positive and productive changes in pursuit of efficiencies, and to
serve as champion for stakeholders in the organizational modernization of multi-dimensional
and integrated operating platforms.

REQUIREMENTS:
1. Relevant Experience: Minimum of 10 years of experience in technology leadership with a

track record of success in managing complex IT projects, delivering technology solutions,
and leading technical teams.

2. Education: Bachelor's degree in Computer Science, Information Technology, or a related
field is required, with a Master’s degree in a relevant field being highly desirable.

3. FinTech/Industry Experience: Familiarity and experience with FinTech platforms and

software commonly used in wealth management, including order management systems,
transaction reconciliation tools, and performance reporting applications.

4. Full Tech Stack Conversions: Proven track record leading project management in the
context of procurement, conversions, implementation, and workforce training in new
technologies and software, including CRM systems, document management systems,
financial systems, and Cloud conversions.

5. Information Security and Cybersecurity: Prior experience managing a modern and multi-
layered approach to information security and cybersecurity, as well as leading cybersecurity
efforts at all levels.

6. Vendor Management: Prior experience in procurement, contract negotiation, and vendor

management, with the ability to effectively manage technology vendors and ensure that they
deliver highly secure, quality products and services.

7. Communication and Training: Experience communicating with and relating to diverse work
teams who may not be fluent in technical language or information system operations.

8. Risk Management Experience: Knowledge of risk management principles and the ability to
assess and manage technology risks in the context of the firm’s overall risk profile, including
exercising of good business judgment relative to the materiality of specific risks and properly
scoping communications to the executive team and/or Board of Directors.

9. Managerial Experience: Demonstrated history of supervising other employees and teams in
a corporate environment. Five years of prior supervisory/management experience is highly
desired. Experience leading and motivating software engineering or support teams and in
managing complex software projects. Outstanding communication skills with the ability to
collaborate effectively with on-site and remote teams.

10. Technical Expertise: In-depth knowledge and hands-on experience in a variety of

technology areas, such as software engineering, full-stack development, database and
network administration, and information security.

11. Regulatory Compliance: Knowledge of industry regulations and standards as they pertain to

information technology and information security, such as SEC regulations, GLBA, FFIEC,

NIST CSF, and the ability to ensure that technology initiatives are compliant with these
regulations.

ACCOUNTABILITIES:
1. Technology Leadership and Operations

needed for operational effectiveness and to maintain a competitive edge.

• Work closely with the Chief Operating Officer and Management Committee to help foster

assurance, security, and data integrity.

• Guide other departments in the effective, efficient, and secure use of technology specific

• Monitor KPIs and IT budgets to assess technological performance over time.

• Collate and leverage stakeholder feedback to recommend necessary improvements and

• Communicate technology strategy throughout the organization.

• Develop and implement information security and cybersecurity strategies and policies

and renewal considerations and efforts.

2. Leadership of Firm’s Information and Data Security / Cybersecurity
Establish and maintain information security policies, procedures, and standards, including
multi-factor authentication, threat protection, end point detection and response, firewall
security, penetration testing, and mobile device management. This involves diligence,

oversight, and management of vendors engaged in supporting a multi-dimensional and
multi-layered set of protections, testing, reporting, and incident response.

procedures, and protocols that meet or exceed industry standards.

• Work with the firm’s Chief Compliance Officer to ensure compliance with industry

• Conduct regular security assessments and audits (using vendors where appropriate) to

• Coordinate incident response, continuity of business, and disaster recovery procedures

• Conduct technology vendor provider diligence, oversight, and testing.

• Communicate security risks and issues to senior management and the Board of

• Conduct (or coordinate) training for firm employees on information security safety and

• Stay current with industry trends and developments in information security.

3. Supervision and Other Functions
This position is responsible for supervising, leading, and evaluating the performance of the Data
Management department personnel. The DTIS acts as the point person for all of their inquiries
and questions, approves time off requests and bi-weekly timesheets, identifies and develops
relevant skill-building and other training opportunities, and serves as a positive mentor and role
model.
This leadership role may entail a variety of other responsibilities, including training and assisting
employees to become technically competent in their positions as well as working to continually
enhance his/her own skillset. This position may also serve on or chair committees that are
related to the technology infrastructure of the firm.
Works closely with and assists the Chief Operating Officer in a wide range of projects as
needed to enhance the technology infrastructure of the Company.

BENEFITS:

• Competitive compensation and annual bonus opportunity
• 401k plan with employer contributions
• 100% company-paid employee health insurance
• Generous paid time off, including parental leave
• Education reimbursement
• Company paid, covered parking
• Short and long-term disability insurance
• Hybrid work opportunities
• Professional downtown office setting
• Collaborative work culture

R.M. Davis is an equal opportunity employer that values diversity. We do not discriminate on the
basis of race, religion, color, national origin, gender, sexual orientation, age, marital status,
veteran status, or disability status.

If you are a highly motivated individual with a passion for information security and a proven track
record of success, we encourage you to apply for the position of Director of Technology &
Information Security at our firm. Please submit a cover letter, resume and additional relevant
information to Denise Vigneault, Managing Director – Human Resources, at
dvigneault@rmdavis.com.

No recruiters at this time please.

FLSA Status: Exempt
Reports to the Chief Operating Officer March 2023