Principal Compliance Specialist

3 weeks ago


Woodbridge, Connecticut, United States Financial Industry Regulatory Authority , Inc. Full time
Job Description

The Principal Compliance Analyst in Transparency Services plays a crucial role in ensuring compliance with regulations, maintaining appropriate policies and procedures, and coordinating with other FINRA departments and external technology providers.

Key Responsibilities
  • Manage all Reg SCI, FISMA, and FEDRAMP related matters, including interfacing with other FINRA departments, external vendors, the Federal Reserve, and the SEC.
  • Track recurring and on-going compliance tasks.
  • Participate in on-going Reg SCI committees/meetings and act as a backup to the Sr Compliance Specialist on all compliance related matters.
  • Responsible for following FINRA wide Reg Sci procedures for tracking events, as well as drafting and delivering SEC Notifications of SCI related issues and events in accordance with rule requirement and procedure.
  • Participate in annual review and certification of Reg SCI procedures, ensuring Business Continuity procedures are updated.
  • Conduct annual industry wide BCP testing, including functional testing.
  • Respond to all requests from Internal Audit for annual Reg SCI, FISMA, and FEDRAMP audits, including providing evidence for all controls, documenting and tracking findings, and collaborating with their immediate manager to ensure all findings are addressed.
  • Represent Transparency Services in annual SEC Reg Sci audit.
  • Manage all continuous monitoring procedures for FISMA and FEDRAMP in collaboration with the Sr Compliance Analyst.
  • Provide guidance in all other audits conducted by Internal Audit, Finance, and external parties as needed.
Requirements
  • Bachelor's degree, preferably in Management Information Systems.
  • Minimum six (6) years of experience working on Brokerage applications with a focus on compliance, business analysis, project management, and/or testing.
  • Familiarity with rule making process, review of rules, and interaction with legal departments in translating rules into system requirements.
  • Must have excellent verbal and written communication skills as well as experience communicating with technical and operations teams.

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