The Associate Principal Analyst in Market Operations Risk Management performs a variety of specific duties including reviewing and analyzing a sampling of daily work performed by analysts within Transparency Service to ensure critical activities are performed according to documented procedures and guidelines and to meet service level agreements, as appropriate. This is mid-level professional work in which incumbent performs their assigned role, develops job-related skills, and works under limite... more details
The Associate Principal Analyst in Market Operations Risk Management performs a variety of specific duties including reviewing and analyzing a sampling of daily work performed by analysts within Transparency Service to ensure critical activities are performed according to documented procedures and guidelines and to meet service level agreements, as appropriate. This is mid-level professional work in which incumbent performs their assigned role, develops job-related skills, and works under limited supervision.
Essential Job Function:
- Compile and maintain statistics related to Transparency Services (TS) staff daily work functions. Perform reviews of the job functions for timeliness and quality performance with limited supervision and guidance to ensure compliance with documented policies and procedures.
- Perform Quality Control (QC) of key Transparency Services functions by reviewing and analyzing information contained in the department’s various databases and tracking systems. Review applications/databases such as Reference Data Management System (‘RDMS’), Corporate Actions Customer Response Management System (‘CRM’), Double Check and Vendor Management system to gather and review information.
- Monitor on daily basis the Double Check system to ensure that alerts reviewed on a timely and equitable basis.
- Meet with Manager, as appropriate, to discuss areas of risk, trends, and work process inconsistencies. Assist with the development of action plans to improve accuracy rates, reduce risk, and eliminate routine errors.
- Assist in maintaining department’s Procedures Portal and ensure that only appropriate personnel have access to the site. Additionally, ensure that procedures are updated, meet the department and FINRA’s established format and timelines and previous and current versions of all procedures are kept and maintained.
- Assist Department’s Records and Information Manager in Records and IPPP processes and procedures by updating procedures with new requirements, developing, create and maintain yearly Records and IPPP training and managing records destruction process.
- Complete quarterly user verifications to maintain access controls on certain applications used by staff: Effectively conducts user verification reviews for various trade reporting facilities and systems, and ensures the reviews are conducted timely.
- Develop and maintain access review policies and procedures to be used by the department, including DIPPG: Strong knowledge of FINRA policies, and develops and maintains access review policies for TS Department.
- Works effectively with managers and TS Department staff to ensure training material are efficient as well as develop training support tools identified.
- Communicate effectively with other staff and units to provide resolution to issues with clarity, tact and professionalism.
- Provide advice, guidance, and instruction to entry-level Analysts.
- Confer with senior staff and management for guidance on highly complex issues and statistic overviews.
Other Responsibilities:
- Maintain essential skills by attending classes, training programs, and required staff meetings, which may occur outside normal business hours.
- Assist with special projects as assigned by management.
- Perform other duties required to maintain and promote the effective operation of the Risk Management Unit and other units in Transparency Services Market Operations.
Education & Experience Requirements:
- A Bachelor’s degree or equivalent work-related experience required. A minimum of five (5) years relevant or related experience required in a role that utilized research/analytical skills, quality control, and/or root cause and trend analysis.
- A general understanding of relevant FINRA/SEC rules and regulations is required.
- Strong organizational, analytical, and interpersonal skills are required.
- The ability to multi-task and attention-to-detail are essential.
- Basic writing skills are required and excellent verbal communications are necessary.
- Ability to extrapolate and analyze data and information is required.
- Detecting patterns and attention to detail is essential.
- Proficiency in Windows PC environment, including MS Word and Excel is required.
- Able to handle multiple projects/assignments simultaneously with competing priorities.
Working Conditions:
- Work is performed in an open office environment.
- Evenings/weekends may be required on occasion.
For work that is performed in CA, Washington, DC, CO, HI, New York, NY, WA and MD the chart below outlines the proposed salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons.
California: Minimum Salary $91,500, Maximum Salary $170,900
Washington, DC/Maryland: Minimum Salary $91,500, Maximum Salary $163,700
Colorado/Hawaii: Minimum Salary $79,500, Maximum Salary $142,300
New York, NY: Minimum Salary $95,400, Maximum Salary $170,900
Washington State: Minimum Salary $79,500, Maximum Salary $163,700
#LI-Hybrid
To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.
The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.
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Employees may be eligible for a discretionary bonus in addition to base pay. FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement and many other benefits.
Time Off and Paid Leave*
FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.
*Based on full-time schedule
Important Information
FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.
You can read more about these restrictions here.
As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.
Search Firm Representatives
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FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.
FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.
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