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Senior Principal Analyst, MRTS Regulatory Compliance

4 months ago

Kansas City, United States finra Full time

The Senior Regulatory Operations Analyst is an advanced-level professional position responsible for a wide range of tasks in support of various regulatory compliance functions in Market Regulation and Transparency Services (MRTS), including those related to managing conflicts of interest-related compliance issues and inquiries and maintaining department-wide administrative policies and procedures.

Essential Job Functions:

  • Responsible for the MRTS conflict of interest (COI) liaison function, including work related to certifications, recusals, waivers, exemptions, reporting, and addressing COI-related compliance issues and inquiries.  Works closely with FINRA’s Ethics Office on policy issues, procedures updates, and enhancements to the COI Certification (COIC) System.  Works closely with MRTS staff and management on COI-related issues and inquiries.
  • Handles the maintenance of department-wide administrative policies and procedures, including regular (e.g., monthly) publication of policy/procedure updates, maintenance of common procedures and guidance, and management of the annual certification process.  Handles the onboarding of existing policies and procedures to the new policy management tool.
  • Assists with policy and procedure-related work in support of FINRA’s Governance, Risk and Compliance (GRC) tool.
  • Leads regulatory compliance-related project and program management meetings with participation from internal and external stakeholders. Assists the Director with the preparation and presentation of complex agenda items in meetings on conflicts of interest- and procedures administration-related issues. Prepares meeting minutes and responds to questions from executive and senior management meeting participants.
  • Reviews the collection of materials responsive to FINRA internal audit, Regulatory Service Agreement (RSA) client oversight, Securities and Exchange Commission (SEC) and other requests.
  • Conducts research and analyses of complex regulatory compliance issues and develops presentations on findings.  Provides advice, guidance, and training to staff on regulatory compliance-related matters.
  • Recommends and helps develop improvements, enhancements, and solutions that maximize operational effectiveness and efficiency in the area of regulatory compliance.
  • Assists the Director and Senior Director with audit commitment tracking, Regulatory Liaison work, and regulatory compliance-related initiatives.  
  • Handles diverse projects that require in-depth knowledge of departmental and/or FINRA-wide policies and procedures.

Education & Experience Requirements:

  • Bachelor’s degree and a minimum of eight (8) years’ experience; or an equivalent combination of education and experience. 
  • Experience with the securities market structure, associated data, securities regulations and MRTS business processes and applications is strongly preferred.
  • Experience in the assessment and implementation of business processes, process improvement and strategic initiatives is required.
  • Strong project management and organizational skills with excellent attention to detail.
  • Demonstrated ability to work effectively on multiple time-sensitive matters and meet deadlines.
  • Strong written and verbal communications skills, including excellent interpersonal and presentation skills.
  • Proficiency in Microsoft Excel, PowerPoint, and Word is essential.

Working Conditions:

  • Work is normally performed in an office/remote office environment.
  • Work environment includes high productivity expectations and tight deadlines.
  • Extended hours may be required.

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 $124,300, Maximum Salary $235,500

Washington, DC: Minimum Salary $124,300, Maximum Salary $225,700

Colorado/Hawaii: Minimum Salary $108,200, Maximum Salary $196,200
New York, NY:   Minimum Salary $129,800, Maximum Salary $235,500
Washington State: Minimum Salary $108,200, Maximum Salary $225,700

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