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Associate Principal Analyst, Risk Management

3 months ago

Rockville, United States Finra Full time

The Associate Principal Analyst in Market Operations Risk Management performs a variety of specific duties including reviewing and analyzing a sampling of daily work performed by analysts within Transparency Service to ensure critical activities are performed according to documented procedures and guidelines and to meet service level agreements, as appropriate. This is mid-level professional work in which incumbent performs their assigned role, develops job-related skills, and works under limited supervision.

Essential Job Function:

- Compile and maintain statistics related to Transparency Services (TS) staff daily work functions. Perform reviews of the job functions for timeliness and quality performance with limited supervision and guidance to ensure compliance with documented policies and procedures.
- Monitor on daily basis the Double Check system to ensure that alerts reviewed on a timely and equitable basis.
- Meet with Manager, as appropriate, to discuss areas of risk, trends, and work process inconsistencies. Assist with the development of action plans to improve accuracy rates, reduce risk, and eliminate routine errors.
- Assist in maintaining department’s Procedures Portal and ensure that only appropriate personnel have access to the site. Additionally, ensure that procedures are updated, meet the department and FINRA’s established format and timelines and previous and current versions of all procedures are kept and maintained.
- Assist Department’s Records and Information Manager in Records and IPPP processes and procedures by updating procedures with new requirements, developing, create and maintain yearly Records and IPPP training and managing records destruction process.
- Develop and maintain access review policies and procedures to be used by the department, including DIPPG: Strong knowledge of FINRA policies, and develops and maintains access review policies for TS Department.
- Works effectively with managers and TS Department staff to ensure training material are efficient as well as develop training support tools identified.
- Communicate effectively with other staff and units to provide resolution to issues with clarity, tact and professionalism.
- Provide advice, guidance, and instruction to entry-level Analysts.
- Confer with senior staff and management for guidance on highly complex issues and statistic overviews.

Other Responsibilities:

- Maintain essential skills by attending classes, training programs, and required staff meetings, which may occur outside normal business hours.
- Assist with special projects as assigned by management.
- Perform other duties required to maintain and promote the effective operation of the Risk Management Unit and other units in Transparency Services Market Operations.

Education & Experience Requirements:

- A Bachelor’s degree or equivalent work-related experience required. A minimum of five (5) years relevant or related experience required in a role that utilized research/analytical skills, quality control, and/or root cause and trend analysis.
- A general understanding of relevant FINRA/SEC rules and regulations is required.
- Strong organizational, analytical, and interpersonal skills are required.
- The ability to multi-task and attention-to-detail are essential.
- Basic writing skills are required and excellent verbal communications are necessary.
- Ability to extrapolate and analyze data and information is required.
- Detecting patterns and attention to detail is essential.
- Proficiency in Windows PC environment, including MS Word and Excel is required.
- Able to handle multiple projects/assignments simultaneously with competing priorities.

Working Conditions:

- Work is performed in an open office environment.
- Evenings/weekends may be required on occasion.

California: Minimum Salary $91,500, Maximum Salary $170,900

Washington, DC/Maryland: Minimum Salary $91,500, Maximum Salary $163,700

Colorado/Hawaii: Minimum Salary $79,500, Maximum Salary $142,300

New York, NY: Minimum Salary $95,400, Maximum Salary $170,900

Washington State: Minimum Salary $79,500, Maximum Salary $163,700

LI-Hybrid
- 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._

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, t