Principal Analyst, Process and Control Effectiveness – MS Operations, Procedures, and Standards

Found in: Talent US C2 - 1 week ago


San Francisco, United States finra Full time

This position is an experienced individual contributor in Member Supervision Operations, Procedures and Standards (MS OPS), who works independently with minimal supervision to identify, assess, develop, and maintain the MS regulatory risk and controls program and framework. This role will lead and analyze the program for areas of risk and control enhancement, resolve complex operational issues through process mapping, and support/lead regulatory initiatives by partnering with key stakeholders.

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


  • Principal Strategic Analyst

    Found in: beBee jobs US - 1 week ago


    San Francisco, California, United States Pacific Gas and Electric Company Full time

    Position SummaryThe C&ES Compliance and Risk team is seeking a Principal Strategic Analyst to support the compliance and risk infrastructure that enables C&ES co-workers to conduct business in compliance with applicable laws and regulations. In this role, you will develop regulatory strategies to influence and shape company, regulatory, and industry...

  • Sr. Operations Data Analyst

    Found in: beBee jobs US - 3 hours ago


    San Francisco, California, United States Pacific Gas and Electric Company Full time

    Summary: The Operations Data Analyst extracts operations data for analysis, leadership support and responses to ad hoc data requests. The incumbent maintains operations tools & databases ensuring that it is kept up-to-date using data from various PG&E systems. The Analyst identifies and solves current gaps in data requirements and ease of access to ensure...

  • 1824 Principal Administrative Analyst, Civil Rights Office, EEO

    Found in: Resume Library US A2 - 1 week ago


    San Francisco, California, United States City and County of San Francisco Full time

    Job Description Under general administrative direction, the Principal Administrative Analyst plans, organizes, supervises and conducts important, difficult, complex, and sensitive analytical work that has substantive impact on SFMTA operations. The Principal Administrative Analyst in the EEO office will engage in analysis and reporting initiatives,...


  • San Francisco, United States CareerBuilder Full time

    The role We are seeking a proactive and detail-oriented Business Controls Analyst to join our Product team. This individual will play a pivotal role in enhancing our product processes through effective issue resolution, risk management, control design, consistent control execution, and operational support. With a keen understanding of product dynamics, risk...

  • Principal Business Analyst, Transparency Services

    Found in: Talent US C2 - 7 days ago


    San Francisco, United States finra Full time

    The Client & Systems Management Principal Business Analyst will be responsible for creating the business and technical requirements for developers, as well as the distribution of technical specifications and related coding guidance for participants and downstream reference data consumers. Primary responsibilities include writing requirements, system testing,...

  • Business Control Analyst

    Found in: Jooble US O C2 - 2 weeks ago


    San Francisco, CA, United States Galileo Financial Technologies, LLC Full time

    The role We are seeking a proactive and detail-oriented Business Controls Analyst to join our Product team. This individual will play a pivotal role in enhancing our product processes through effective issue resolution, risk management, control design, consistent control execution, and operational support. With a keen understanding of product dynamics,...


  • San Diego, United States Cypress HCM Full time

    Job DescriptionJob DescriptionProject Control Analyst IIIThis is an exciting opportunity to join an industry leading company as a Project Control Analyst. Ideal candidates will have proven EVMS experience, preferably in the DoD space. This position will work cross-functionally, supporting projects/programs and interfacing with...

  • Accountant III

    Found in: Talent US 2 C2 - 1 week ago


    San Francisco, United States City and County of San Francisco Full time

    Company Description The Controller is the City’s chief financial officer. Our team includes financial, technology, analytical and other professionals who work hard to secure the City’s financial integrity and promote efficient, effective and accountable government. We hold ourselves to high standards and strive to be a model for good government. We...

  • Expert Incident Response Analyst

    Found in: beBee jobs US - 2 hours ago


    San Francisco, California, United States Pacific Gas and Electric Company Full time

    Position SummaryThe Expert Incident Response Analyst will be curious and knowledgeable regarding cyber security standards and technologies, specifically focused on infrastructure within an industrial control system (ICS) environment, able to work independently or with appropriate stakeholders as needed. You will provide the opportunity to focus on threat...


  • San Diego, United States Acord (association For Cooperative Operations Research And Development) Full time

    This position will be open till filled. Initial application review date is 1/19/2024. UCSD Layoff from Career Appointment : Apply by 12/25/2023 for consideration with preference for rehire. All layoff applicants should contact their Employment Advisor. Special Selection Applicants : Apply by 1/19/2024. Eligible Special Selection clients should contact their...

  • Principal Account Clerk

    Found in: Resume Library US A2 - 2 weeks ago


    San Francisco, California, United States City and County of San Francisco Full time

    Job Description Under general supervision, the 1634 performs difficult bookkeeping and financial record keeping operations within complex accounting systems and may direct the work of other clerical staff. The person selected for this position will be required to interpret, enforce and carry out existing policies and procedures relative to financial record...

  • Senior Performance Analyst

    Found in: Jooble US O C2 - 2 weeks ago


    San Francisco, CA, United States City and County of San Francisco Full time

    The Controller is the City’s chief financial officer. Our team includes financial, technology, analytical and other professionals who work hard to secure the City’s financial integrity and promote efficient, effective and accountable government. We hold ourselves to high standards and strive to be a model for good government. We value the diverse...


  • South San Francisco, United States Magnit Full time

    Title: Senior/Principal Scientist in Translational Medicine Mass SpectrometryLocation: South San Francisco, CA - ONSITEDuration: 12+ Months contract role Job description:Description:The Translational Medicine department at Genentech informs clinical development of novel personalized therapeutics through establishment of biomarker strategies aimed to study...

  • Senior Principal Scientist

    Found in: Appcast US C2 - 1 week ago


    South San Francisco, United States Magnit Full time

    Title: Senior/Principal Scientist in Translational Medicine Mass SpectrometryLocation: South San Francisco, CA - ONSITEDuration: 12+ Months contract role Job description:Description:The Translational Medicine department at Genentech informs clinical development of novel personalized therapeutics through establishment of biomarker strategies aimed to study...

  • Senior Principal Scientist

    Found in: Appcast Linkedin GBL C2 - 2 weeks ago


    South San Francisco, United States Magnit Full time

    Title: Senior/Principal Scientist in Translational Medicine Mass SpectrometryLocation: South San Francisco, CA - ONSITEDuration: 12+ Months contract role Job description:Description:The Translational Medicine department at Genentech informs clinical development of novel personalized therapeutics through establishment of biomarker strategies aimed to study...


  • San Antonio, United States PassionHR Inc Full time

    Job DescriptionJob DescriptionFOCAL CONTROL SYSTEMS ANALYSTSAN ANTONIO, TEXASPassionHR is an HR consulting firm committed to serving our client's goals. This often involves business- to- business recruiting to hire, manage, and retain top-talent employees. We take pride in our work, performing each task with competence, confidence, and integrity. We are...

  • Deputy Controller

    Found in: Resume Library US A2 - 1 week ago


    San Francisco, California, United States City and County of San Francisco Full time

    Job Description In partnership with the Controller, the Deputy Controller manages departmental operations and assists with key Citywide responsibilities, which may include: providing executive oversight for key departmental functions such as administration, accounting, budgeting, contracting, debt management, economic analysis, financial management, human...


  • San Francisco, United States CareerBuilder Full time

    The Opportunity: The Principal Project Manager is responsible for leading, developing, implementing, and monitoring effective construction management services including new business prospects, technical delivery, staff development, fostering both the Consor quality and safety programs, production methods and standards all within established company goals and...

  • Principal Product Manager

    Found in: beBee jobs US - 1 week ago


    San Francisco, California, United States Pacific Gas and Electric Company Full time

    Position SummaryThis execution and operationally-oriented candidate will lead the deployment and ongoing operations of PG&E's enterprise Distributed Energy Resource Management System (DERMS) as well as the development of new operational processes for DER management. In addition to the execution focus, the DERMS Product Manager will also support development...

  • Technical Product Manager, Principal

    Found in: beBee jobs US - 2 weeks ago


    San Francisco, California, United States Pacific Gas and Electric Company Full time

    Position SummaryWe are looking for an Technical Product Manager, Principal to coordinate projects involving work from one or more of the areas mentioned above. You will have a unique opportunity to join a new team to develop novel tools and solutions at the forefront of utility industry analytics. In this role you will lead cross functional teams, including...