Principal Analyst, Process and Control Effectiveness – MS Operations, Procedures, and Standards
Found in: Talent US C2 - 1 week ago
Essential Job Functions:
Independently identifies, assesses, documents, and maintains risks and controls through process mapping/ documentation.
Maintains the process map inventory for the continued assessment of policies/procedures, controls, and process efficiency.
Participates and/or leads the establishment of centralized operational processes to increase efficiency, minimize duplication, and ensure sufficient controls are in place.
Partners with key stakeholders to enhance and/or develop new processes, controls, or procedures.
Maintains advanced working knowledge of departmental functions and industry developments.
Liaise with the regulatory change process to ensure impact assessments take into consideration all areas within the control environment.
Facilitates departmental wide meetings to communicate updates and train staff on programmatic changes to processes, tools, controls, technology, policy/procedure.
Participates and, where necessary, acts as a lead, on applicable Governance Committees.
Cultivates strong working relationships across Member Supervision, throughout FINRA, and with other stakeholders, including the SEC, states, other regulatory agencies, and the industry.
Partner with external stakeholders and senior leaders across the enterprise to accomplish strategic objectives, including, but not limited to issue remediation.
Develops and maintains content on Regulatory Operations systems and internal websites.
Independently produces and disseminates reporting to key stakeholders.
In addition to providing support, actively participates in the development and maintenance of operational metrics, providing insight into key performance and key risk indicators for senior management.
Leads special projects and ad hoc initiatives including, but not limited to internal and external requests.
Coaches more junior colleagues in techniques, processes, and responsibilities.
Models inspirational, accountable, and supportive leadership, develops and empowers talent at all levels, fosters a diverse and inclusive culture, and creates an environment of strong employee engagement.
Prior Internal Audit, Risk Assessment or similar business function experience preferred.
Proficiency in Microsoft Windows-based software applications, experience using Microsoft Visio preferred.
Education/Experience Requirements:
- Bachelor’s degree in business or related field and a minimum of five (5) years of directly related securities experience, or an equivalent combination of education and experience.
- Knowledge of securities industry rules, regulations and guidelines required.
- Demonstrated understanding regulatory/policy requirements, the impact on process and controls, and ability to succinctly document all elements.
- Exemplifies research/analytical skills.
- Excellent written and verbal communication skills, including interpersonal skills and presentation skills.
- Strong organizational, time-management, problem solving, and organizational skills are highly desired. Attention to detail is essential.
- Proficiency in Microsoft Windows-based software applications
Working Conditions:
- Work is normally performed in an office environment at FINRA.
For work that is performed in CA, Washington, DC, CO, HI, New York, NY and WA, the chart below outlines the proposed salary range for the corresponding location. 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 internal peer compensation comparisons.
California: Minimum Salary $106,400, Maximum Salary $200,200
Washington, DC: Minimum Salary $106,400 Maximum Salary $191,800
Colorado/Hawaii: Minimum Salary $92,500, Maximum Salary $166,800
New York, NY: Minimum Salary $111,000, Maximum Salary $200,200
Washington State: Minimum Salary $92,500, Maximum Salary $191,800
#LI-Hybrid
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