SEO Friendly Job Title: Senior Principal Analyst, MS Operations, Procedures and Standards
H1: Join the Team at FINRA as a Senior Principal Analyst!
H2: Take on a Leadership Role in Member Supervision Operations, Procedures and Standards
Bold Headline: Grow Your Career and Make a Difference in Investor Protection and Market Integrity at FINRA
FINRA is seeking a Senior Principal Analyst to join their team at all FINRA locations. This experienced individual contributor will lead the development, implementation, and maintenance of operations, procedures, standards, and reporting. They will also continuously evaluate the program for areas of improvement and support regulatory initiatives by partnering with key stakeholders.
Key Responsibilities:
- Establish centralized operational processes to increase efficiency and ensure sufficient controls
- Implement and enhance new processes, controls, or procedures
- Maintain expert working knowledge of departmental functions and industry developments
- Lead and partner with key stakeholders in the regulatory change process
- Facilitate department-wide meetings to communicate updates and train staff on programmatic changes
- Develop Policies & Procedures and serve as an Operational Advisor on large-scale initiatives
- Proactively assess procedures and make recommendations for updates
- Participate in applicable Governance Committees
- Cultivate strong working relationships with stakeholders and senior leaders
- Partner with external stakeholders to accomplish strategic objectives
- Develop and maintain content on Regulatory Operations systems and internal websites
- Lead the production and dissemination of 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
- Model inspirational, accountable, and supportive leadership
- Make recommendations for the strategic direction of operations within the department
Education/Experience Requirements:
- Bachelor's Degree and a minimum of eight (8) years of experience
- 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
- Proficiency in 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 multiple complex assignments
- Work independently with strong project management and organizational skills
Working Conditions:
- Hybrid work environment with defined in-person presence requirements
- Extended hours as needed
Salary Information:
- Location-based salary ranges provided for: CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State, and NY State
- Actual compensation based on various factors such as skill set, experience, education, and internal peer compensation comparisons
- Candidates can expect salary offers ranging from the minimum to the mid-point of the salary range
- Full pay ranges provided for consideration of growth potential while at FINRA
Important Information:
- FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures related to their role as a securities regulator
- Employees must disclose all brokerage accounts and authorize their broker-dealers to provide FINRA with duplicate statements
- Employees may only maintain securities accounts at firms that provide an electronic feed to FINRA
- All employees must comply with the company’s policy on nepotism and execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification
Time Off and Paid Leave:
- 15 days of paid time off, 5 personal days, and 9 sick days (pro-rated in the first year)
- Two volunteer service days (based on full-time schedule)
- Military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, and childbirth and parental leave (available after 90 days of employment)
- Nine paid holidays (based on full-time schedule)
Search Firm Representatives:
- FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity
- A valid written agreement and task order must be in place before any resumes are submitted to FINRA
- Resumes submitted without a valid written agreement and task order will be considered the sole property of FINRA and no fee will be paid if that person is hired by FINRA
FINRA is an equal opportunity employer and abides by the requirements of 41 CFR ) and 41 CFR ).
