The Principal Analyst in the Regulatory Services Management team (“RSM”) in FINRA’s Department of Market Regulation and Transparency Services (“MRTS”) is responsible for performing a wide variety of tasks in support of establishing and maintaining controls for RSM standard and non-standard reports to be delivered to the Regulatory Service Agreement (RSA) Exchanges and other FINRA customers, as applicable. This is senior-level professional work in which incumbents are defining their assigned role... more details
The Principal Analyst in the Regulatory Services Management team (“RSM”) in FINRA’s Department of Market Regulation and Transparency Services (“MRTS”) is responsible for performing a wide variety of tasks in support of establishing and maintaining controls for RSM standard and non-standard reports to be delivered to the Regulatory Service Agreement (RSA) Exchanges and other FINRA customers, as applicable. This is senior-level professional work in which incumbents are defining their assigned roles, applying their job skills, and working under general guidance. This position reports directly to the Senior Director, Regulatory Services Management.
Essential Job Functions:
- Executing all aspects of the Change Control/Request (“CR”) process, including coordination of internal and external meetings, responses and reporting to assist and fill in as lead, when needed.
- Executing all aspects of the RSA Exchange Regulatory Oversight Committee (ROC) reporting process, including coordination of internal and external meetings to gather content and feedback to assist and fill in as lead, when needed.
- Participate in developing alternatives, enhancements, and solutions to maximize the Change Control/CR and RSA Exchange ROC Reporting process effectiveness, consistency and efficiency.
- Executing, streamlining and automating the RSA Compliance Survey to ensure that FINRA is complying with its RSA responsibilities, including updating the RSA Compliance Survey based on contractual updates, engaging with FINRA staff performing services under the RSAs and preparing required reports and memos for RSM senior management.
- Assisting the RSM Reporting Team with analyzing RSM’s List of Reports to determine how to combine, decommission or enhance reports to improve the consistency and efficiency of RSA Exchange reports.
- Support the ELAs with the following, as needed: maintenance of rules matrices; performing regular reviews and updating of Communication Protocols (CPs); and responding to RSA Exchange oversights and ad hoc requests.
- Assist RSM senior management and staff with drafting/regularly reviewing and updating relevant RSM policies and procedures.
- Assist RSM senior management and staff with special projects, as requested.
- Identify and escalate any RSM related issues to RSM’s Senior Director in a timely manner with proposed recommendations for resolving such issues.
- Provides strategic advice on complex reporting and technological issues, and problems raised by the RSM team, Regulatory Operations teams, RSA Exchanges, and other FINRA customers, as applicable, in coordination with Regulatory Operations staff, including monitoring and resolving such issues.
- Leads collaboration with Regulatory Operations teams regarding changes and updates to the RSM protocols.
- Maintenance of RSA Gateway, including tracking deliverables on the portal and managing regulatory risk issues.
Education & Experience Requirements:
- A Bachelor’s degree and a minimum of eight (8) years’ experience; or an equivalent combination of education and experience.
- Experience in the assessment and implementation of business processes, process improvement and strategic initiatives is required.
- Experience with securities market structure issues, associated data, regulations and/or market surveillance business processes is strongly preferred.
- Juris Doctorate is preferred.
- Strong verbal and written communication skills are essential.
Working Conditions:
- Work is normally performed in an office/remote office environment.
- Some travel may be required.
For work that is performed in CA, Washington, DC, CO, HI, New York, NY and WA, 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 $106,400, Maximum Salary $200,200
Washington, DC: Minimum Salary $106,400 Maximum Salary $191,800
Colorado/Hawaii: Minimum Salary $92,500, Maximum Salary $166,800
New York, NY: Minimum Salary $111,000, Maximum Salary $200,200
Washington State: Minimum Salary $92,500, Maximum Salary $191,800
#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
Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.
FINRA is an Equal Opportunity and Affirmative Action Employer
All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.
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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