Principal Analyst, Regulatory Change Management and Compliance

Found in: Talent US C2 - 1 week ago

Chicago, 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, implement, and maintain operations, procedures, standards, and reporting. This role will lead regulatory initiatives by partnering with key stakeholders, evaluate the program for areas of need/improvement, and resolve complex operational issues. The primary focus of this role is to perform regulatory impact assessments and facilitate change management for new and/or updated regulations.

Essential Job Functions:

  • Participates and/or leads the regulatory change process for a subset of business units to ensure impact assessments are performed and necessary builds/updates occur.
  • Partners with key stakeholders to enhance and/or develop new processes, controls, or procedures.
  • Partners with external stakeholders and senior leaders across the enterprise to accomplish strategic objectives, including, but not limited to issue remediation.
  • Participates and/or leads the establishment of centralized operational processes to increase efficiency, minimize duplication, and ensure sufficient controls are in place. 
  • Assists with the development and implementation of departmental specific policies, procedures, and guidance.
  • Maintains advanced working knowledge of departmental functions and industry developments.
  • Facilitates departmental wide meetings to communicate updates and train staff on programmatic changes to processes, tools, controls, technology, policy/procedures.
  • 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.
  • 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 Regulatory, Internal Audit, Risk or Compliance background preferred.
  • Experience with Regulatory Impact Assessment/Change Management, and/or Issue Remediation preferred.
  • Experience with Global, Risk and Compliance (GRC) framework/tools a plus.

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

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