Senior Principal Analyst, MRTS Regulatory Compliance - FINRA

The Senior Regulatory Operations Analyst is an advanced-level professional position responsible for a wide range of tasks in support of various regulatory compliance functions in Market Regulation and Transparency Services (MRTS), including those related to managing conflicts of interest-related compliance issues and inquiries and maintaining department-wide administrative policies and procedures.

Essential Job Functions:

• Responsible for the MRTS conflict of interest (COI) liaison function, including work related to certifications, recusals, waivers, exemptions, reporting, and addressing COI-related compliance issues and inquiries.  Works closely with FINRA’s Ethics Office on policy issues, procedures updates, and enhancements to the COI Certification (COIC) System.  Works closely with MRTS staff and management on COI-related issues and inquiries.
• Handles the maintenance of department-wide administrative policies and procedures, including regular (e.g., monthly) publication of policy/procedure updates, maintenance of common procedures and guidance, and management of the annual certification process.  Handles the onboarding of existing policies and procedures to the new policy management tool.
• Assists with policy and procedure-related work in support of FINRA’s Governance, Risk and Compliance (GRC) tool.
• Leads regulatory compliance-related project and program management meetings with participation from internal and external stakeholders. Assists the Director with the preparation and presentation of complex agenda items in meetings on conflicts of interest- and procedures administration-related issues. Prepares meeting minutes and responds to questions from executive and senior management meeting participants.
• Reviews the collection of materials responsive to FINRA internal audit, Regulatory Service Agreement (RSA) client oversight, Securities and Exchange Commission (SEC) and other requests.
• Conducts research and analyses of complex regulatory compliance issues and develops presentations on findings.  Provides advice, guidance, and training to staff on regulatory compliance-related matters.
• Recommends and helps develop improvements, enhancements, and solutions that maximize operational effectiveness and efficiency in the area of regulatory compliance.
• Assists the Director and Senior Director with audit commitment tracking, Regulatory Liaison work, and regulatory compliance-related initiatives.  
• Handles diverse projects that require in-depth knowledge of departmental and/or FINRA-wide policies and procedures.

Education & Experience Requirements:

• Bachelor’s degree and a minimum of eight (8) years’ experience; or an equivalent combination of education and experience. 
• Experience with the securities market structure, associated data, securities regulations and MRTS business processes and applications is strongly preferred.
• Experience in the assessment and implementation of business processes, process improvement and strategic initiatives is required.
• Strong project management and organizational skills with excellent attention to detail.
• Demonstrated ability to work effectively on multiple time-sensitive matters and meet deadlines.
• Strong written and verbal communications skills, including excellent interpersonal and presentation skills.
• Proficiency in Microsoft Excel, PowerPoint, and Word is essential.

Working Conditions:

• Work is normally performed in an office/remote office environment.
• Work environment includes high productivity expectations and tight deadlines.
• Extended hours 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 $124,300, Maximum Salary $235,500

Washington, DC: Minimum Salary $124,300, Maximum Salary $225,700

Colorado/Hawaii: Minimum Salary $108,200, Maximum Salary $196,200
New York, NY:   Minimum Salary $129,800, Maximum Salary $235,500
Washington State: Minimum Salary $108,200, Maximum Salary $225,700

#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

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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