Associate Principal Governance Analyst, Surveillance Optimization and Innovation

The Associate Principal Governance Analyst role on the Surveillance Optimization and Innovation Team is responsible for managing the governance of FINRA’s first in class surveillance program. This role is responsible for working closely with business and technology stakeholders as well as Regulatory Service Agreement (RSA) clients through the operation of FINRA’s Knowledge Management Boards. This role also works with under the guidance of management to foster the evolution of the governance process through dynamic approaches and technology enablement.
Essential Job Functions:Assist with the day-to-day operations of the Surveillance governance program including FINRA’s Knowledge Management Boards accountable for executive business control of the surveillance program. Responsible for the surveillance inventory and related reporting. Assists with the identification of opportunities for the optimization of the governance program and implements impactful enhancements. Assists with technology initiatives related to surveillance development, maintenance, and business enablement. Represents FINRA in internal/external meetings. Other

Responsibilities:
Provides support to multi-level initiatives across Regulatory Operations and/or Surveillance Provides subject matter expertise in regulatory areas to advance FINRA and industry initiatives (e.g., CAT, Notice to Members, rule filings, market events, congressional testimony preparation) Remains current on industry and technology trends, practices, and regulatory impacts.
Demonstration of FINRA’s values.
Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.
Education/Experience

Requirements:
Bachelor’s degree and a minimum of four (4) years of experience in the securities/financial services industry; or an equivalent combination of education and experience in positions of increasing responsibilities. FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent is required within 16 months of start date of the assigned SIE cohort. Experience managing and developing governance policies, procedures, and/or internal controls required. Demonstrated project management, process improvement, understanding of surveillance development lifecycle and goal attainment skills. Extensive Working knowledge of FINRA, MSRB and other SRO rules and the Securities Exchange Act of 1934 and the rules and regulations thereunder. Requires excellent written and verbal communications skills, including interpersonal and presentation skills. Strong organizational skills and excellent detail orientation. Work

Conditions:
Hybrid work environment, with defined in-person presence requirements.
Hours which may extend beyond normal business hours.
Travel will be required, as necessary.
For work that is performed in CO, CT, IL, PA, MA, MD, VA, WA, DC, NY, NJ, WA please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. 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 market considerations. Los Angeles, CA: $96,600
- $127,000San Francisco, CA: $100,800
- $132,000Boston, MA: $96,600
- $172,800Chicago, IL: $92,400
- $165,300Denver, CO: $83,900
- $150,300Jericho, NY: $96,600
- $172,800Jersey City, NJ: $100,800
- $180,400Philadelphia, PA: $92,400
- $165,300New York, NY: $100,800
- $180,400Rockville, MD: $96,600
- $172,800Tysons, VA: $96,600
- $172,800Washington, DC: $96,600
- $172,800Woodbridge, NJ: $96,600
- $172,800Connecticut State: $83,900
- $180,400Washington State: $83,900
- $180,400#LI-HybridTo 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.
Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.
Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, 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 vestin