Principal Analyst, MRTS-Surveillance Optimization and Innovation

Found in: Talent US C2 - 2 weeks ago

San Francisco, United States finra Full time

This Principal Analyst role on the Testing and Risk Optimization team in Surveillance Optimization and Innovation is responsible for executing and addressing the development and optimization of surveillance patterns to ensure a center of surveillance excellence. This role also works under the guidance of management to innovate and communicate with peers across the organization to facilitate sharing of surveillance intelligence to improve our ability to meet FINRA’s mission.

Essential Job Functions:

  • Executes the delivery of the team’s short term/long term strategic and operational plans. 
  • Monitors for program risks and develops solutions, including the completion of quality control assessments. 
  • Promotes a culture of continuous innovation and creativity within the Surveillance team, inspiring and empowering team members to generate ideas and solutions. 
  • Conducts the testing and risk optimization of the section’s surveillance tools, patterns and other departmental/Reg Ops reports, in conjunction with Surveillance teams. 
  • Participates in internal and external discussions to advance regulatory programs impacting FINRA. 
  • Recommends surveillance enhancements, including an analysis of return on investment (e.g., replacing manual processes). 
  • Represents FINRA in internal meetings. 
  • Demonstrates FINRA’s values of Responsibility, Innovation, Collaboration and Expertise, while embracing FINRA’s culture of diversity and inclusion, in interactions with colleagues, management, FINRA members, and outside parties. 

Other Responsibilities:

  • Provides support to multi-level initiatives across Regulatory Operations and/or Surveillance
  • Provides subject matter expertise in regulatory area to advance FINRA and industry initiatives (e.g., CAT, Notice to Members, rule filings, market events, congressional testimony preparation)
  • Remains current on industry and technology trends, practices, and regulatory impacts 

Education & Experience Requirements:

  • Bachelor’s degree and a minimum of seven (7) years of experience in the securities/financial services industry; or an equivalent combination of education and experience in positions of increasing responsibilities.
  • Demonstrated project management, process improvement, understanding of surveillance development lifecycle and goal attainment skills.
  • Working knowledge of FINRA, MSRB and other SRO rules and the Securities Exchange Act of 1934 and the rules and regulations thereunder.
  • Working knowledge of data analytics and data analytic platforms (e.g., Power Bi and Dataiku)
  • Requires excellent written and verbal communications skills, including interpersonal and presentation skills.
  • Strong organizational skills and excellent detail orientation. 

Working Conditions:

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

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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