Senior Principal Business Analyst, Transparency Services

Found in: Talent US C2 - 1 week ago


Dallas, United States finra Full time

The Product Management Business Analyst Senior Specialist works on the development and distribution of technical specifications and related coding guidance for participants. The position is responsible for ensuring that participants comprehend and adhere to the FINRA rules that govern the various Transparency Services interfaces for quoting and trade reporting fixed income and equity products. This role collaborates with FINRA Technology in researching and directing the technology vision to provide appropriate solutions and functionality for Transparency Services products. The role collaborates with participants and other FINRA departments, ensuring that Transparency Services products support the vision and provide accurate and timely data transmissions. The job requires extensive understanding of system design, interfaces, trade reporting and maintaining the integrity of data capture and audit trail transmission for surveillance, analysis and billing. The Product Management Business Analyst Senior Specialist has an extensive understanding of the securities industry processing including a working knowledge of FINRA member firm’s order and trade reporting systems and Exchange based systems. The Product Management Business Analyst Senior Specialist is a key stakeholder in the quality assurance process and is an active participant in hardware and software reviews and release testing to ensure the integrity of the FINRA processing environments. In addition, the Product Management Business Analyst Senior Specialist is responsible for collaborating with the Equity and Fixed Income Business teams to keep abreast of events, issues and changes that will or can affect the fixed income and equities industry such as: FINRA or SEC rule filings, publications and announcements.

  • Manages and oversee all stakeholders involved in the implementation of changes for the customer (e.g., policy, procedure, process, technology, training, and communication). Ensures system enhancements are delivered in a timely manner, and communicated consistently across the organization.
  • Collaborates with Senior Management by preparing high level briefings, providing advice and expertise on complex technical and strategic plans, and leading internal process improvement initiatives.
  • Coaches and trains junior colleagues in techniques, processes and responsibilities.
  • Oversee the creation of requirements and provide business guidance to technology vendor on mandated industry-wide initiatives, as well as providing support and guidance for external system users.  
  • Reviews quality and content of participant specifications to ensure accuracy and compliance with FINRA rules and technical requirements.
  • Manages data requirements across FINRA divisions including: Technology, Market Regulation, Member Regulation and OGC.

Education/Experience
  • BA/BS in Finance or Business and a minimum of eight (8) years of experience in the fixed income and/or equities industry with hands-on system experience with fixed income and/or equity Order Management Systems or trade reporting systems.
  • Project management experience.
  • Demonstrated experience documenting solutions for complex business and data intensive systems.
  • Proficient at technical business writing, including functional requirement specifications, workflows, use-cases and other documentation methodologies.
  • Must have excellent verbal and written communication skills as well as experience communicating with technical and operations teams.

Work Conditions
  • Hybrid work environment (remote/office) with hours which may extend beyond normal business hours.
  • Travel will be required, as necessary.


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