Attorney in Los Angeles, CA

Public Interest

Los Angeles, CA

Attorney in Los Angeles, CA

Non-practicing Attorney

Min 8 yrs required

No

H1: Senior Principal Analyst, MS Operations, Procedures and Standards - All **Members Only** Locations
H2: Apply Now for Senior Principal Analyst Position at **Members Only**

Organization: Financial Industry Regulatory Authority (**Members Only**)
Job Title: Senior Principal Analyst, MS Operations, Procedures and Standards
Experience: Minimum of 8 years
Salary Range:
- California: $128,000 - $242,600
- Colorado/Hawaii/Minnesota/Vermont: $111,400 - $202,100
- Illinois: $122,800 - $222,400
- Jersey City, NJ/New York City, NY: $133,700 - $242,600
- Massachusetts/Washington: $111,400 - $232,500
- Maryland/Washington, DC: $128,000 - $232,500
- New Jersey State: $122,800 - $242,600
- New York State: $111,400 - $242,600
Time Type: Full Time
Job Requisition ID: R-009247
Location: All **Members Only** Locations

Job Summary:

The Senior Principal Analyst, MS Operations, Procedures and Standards is an experienced individual contributor in Member Supervision Operations, Procedures and Standards (MS OPS) at **Members Only**. This role is responsible for developing, implementing, and maintaining operations, procedures, standards, and reporting, as well as continuously evaluating the program for areas of improvement. The Senior Principal Analyst will also resolve complex operational issues and support/lead regulatory initiatives by partnering with key stakeholders.

Essential Job Functions:

- Leads the establishment of centralized operational processes to increase efficiency, minimize duplication, and ensure sufficient controls are in place.
- Implements and enhances new processes, controls, or procedures.
- Maintains expert working knowledge of departmental functions and industry developments and serves as a subject matter expert for the team.
- Leads and partners with key stakeholders in the regulatory change process for a subset of business units to ensure complex impact assessments are performed and necessary builds/updates occur.
- Facilitates department-wide meetings to communicate updates and train staff on programmatic changes to processes, tools, controls, technology, policy/procedures.
- Leads the development of Policies & Procedures and serves as an Operational Advisor on large-scale initiatives.
- Proactively assesses procedures to determine if further development or updates are required, making recommendations as needed. Leads efforts to identify, prioritize, and resolve areas of inconsistent procedural application.
- Participates and, where necessary, acts as a lead on applicable Governance Committees.
- Cultivates strong working relationships across Member Supervision, throughout **Members Only**, and with other stakeholders, including the SEC, states, other regulatory agencies, and the industry.
- Partners with external stakeholders and senior leaders across the organization to accomplish strategic objectives, including issue remediation.
- Develops and maintains content on Regulatory Operations systems and internal websites.
- Leads the production and dissemination of reporting to key stakeholders.
- Proactively participates in the development and maintenance of operational metrics, providing insight into key performance and risk indicators for senior management.
- Leads special projects and ad hoc initiatives, including but not limited to internal and external requests.
- Leads training efforts for MS OPS in techniques, processes, and responsibilities.
- Models inspirational, accountable, and supportive leadership, develops and empowers talent at all levels, and creates an environment of strong employee engagement.
- Makes recommendations to the Head and/or Deputy Head of Member Supervision OPS to support the development of the strategic direction of operations within the department.
- Demonstrates **Members Only**'s values.
- Collaborates, both in-person and virtually, in furtherance of **Members Only**'s mission of investor protection and market integrity.

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 in Microsoft Office suite of applications.

Skills Requirements:

- Excellent interpersonal, negotiation, and diplomacy skills, with a high comfort level in relations with **Members Only** senior management teams.
- Establish and maintain effective working relationships at all levels inside and outside the organization.
- Excellent leadership skills, including the ability to deal effectively with people, make decisions, find solutions, encourage and support change, and deal with problem situations involving member firms and individuals.
- Excellent written and verbal communication skills, including interpersonal skills and presentation skills.
- Must be a self-starter and able to administer a number of complex assignments concurrently, including unstructured assignments that require autonomy and independent judgment.
- 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:

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State, and NY State, please refer to the chart below for the salary range for the corresponding 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.

- 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,