Attorney in Jericho, NY

Public Interest

Jericho, NY

Attorney in Jericho, NY

Non-practicing Attorney

Min 8 yrs required

No

Senior Principal Analyst, MS Operations, Procedures and Standards - All FINRA Locations
Full Time
Posted Today
R-009247

This position is an experienced individual contributor in Member Supervision Operations, Procedures and Standards (MS OPS), who works independently to develop, implement, and maintain operations, procedures, standards, and reporting. This role will continuously evaluate the program for areas of improvement, resolve complex operational issues, and support/lead regulatory initiatives by partnering with key stakeholders.

Essential Job Functions:

- Develop, implement, and maintain operations, procedures, standards, and reporting for Member Supervision Operations
- Continuously evaluate the program for areas of improvement and make recommendations as needed
- Resolve complex operational issues and lead regulatory initiatives by partnering with key stakeholders
- Cultivate strong working relationships with stakeholders, including the SEC, states, other regulatory agencies, and the industry
- Lead the development of Policies & Procedures and serve as an Operational Advisor on large scale initiatives
- Proactively assess procedures to determine if further development or updates are required
- Participate and, where necessary, act as a lead, on applicable Governance Committees
- Facilitate departmental wide meetings to communicate updates and train staff
- Develop and maintain content on Regulatory Operations systems and internal websites
- Produce and disseminate reporting to key stakeholders
- Participate in the development and maintenance of operational metrics
- Lead special projects and ad hoc initiatives
- Lead training efforts for MS OPS in techniques, processes, and responsibilities
- Make recommendations to support development of the strategic direction of operations within the department
- Demonstrate FINRA's values and collaborate with internal and external stakeholders

Education/Experience Requirements:

- Bachelor's Degree and a minimum of eight (8) years of experience, or an equivalent combination of education and relevant experience required
- Major in Accounting, Finance, Economics, Business Administration, graduate degree (MBA or JD) and/or relevant industry certification(s) a plus
- Demonstrated leadership skills within accounting, audit, legal, compliance or related field(s)

Knowledge Requirements:

- Demonstrated expert working knowledge of securities industry rules, regulations and related guidelines based on prior work experience
- Proficiency of Microsoft Office suite of applications

Skills Requirements:

- Excellent interpersonal, negotiation, and diplomacy skills
- Establish and maintain effective working relationships at all levels
- Excellent leadership skills
- Excellent written and verbal communication skills
- Must be self-starter and able to administer a number of complex assignments concurrently
- Work independently, possess strong project management and organizational skills

Working Conditions:

- Hybrid work environment, with defined in-person presence requirements
- Extended hours as needed

Salary Information:

- CA: Minimum Salary $128,000, Maximum Salary $242,600
- CO/HI/MN/VT*: Minimum Salary $111,400, Maximum Salary $202,100
- IL*: Minimum Salary $122,800, Maximum Salary $222,400
- Jersey City, NJ/NYC, NY: Minimum Salary $133,700, Maximum Salary $242,600
- MA/WA: Minimum Salary $111,400, Maximum Salary $232,500
- MD/Washington, DC: Minimum Salary $128,000, Maximum Salary $232,500
- NJ State: Minimum Salary $122,800, Maximum $242,600
- NY State: Minimum Salary $111,400, Maximum Salary $242,600

*Including positions performed outside the state but reporting to an office or manager in that state.

Benefits:

- Comprehensive health, dental and vision insurance
- 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
- Immediate participation and vesting in a 401(k) plan with company match
- Eligibility for participation in an additional FINRA-funded retirement contribution
- Tuition reimbursement, commuter benefits, and other benefits that support employee wellness

Time Off and Paid Leave*:

- 15 days of paid time off, 5 personal days and 9 sick days
- 2 volunteer service days
- Military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, and childbirth and parental leave
- 9 paid holidays

Important Information:

- FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures
- Employees must also execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism

Search Firm Representatives:

- FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity

FINRA is an equal opportunity employer and abides by the requirements of 41 CFR ) and 41 CFR ).