Principal Analyst, MAP

3 weeks ago

Boca Raton, United States finra Full time

The Principal Analyst has demonstrated a highly proficient level of competence in identifying risks, developing regulatory strategies to address those risks, and working with internal and external constituents to achieve the goals of the department.

Essential Job Functions:

  • Lead or participate in, and provide guidance and advice with regard to, files received by MAP, including complex/novel/unique or high-risk applications. The Principal Analyst possesses a highly proficient level of knowledge of relevant rules, regulations, guidelines, and industry practices.
  • Complete assignments in a timely manner as mandated by the department and/or rules.
  • Proactively identify and strategize recommendations regarding notable trends in industry practices, products, and procedures.
  • Ensure regulatory programs serve departmental goals and FINRA’s mission in an efficient and effective manner.
  • Demonstrate advanced critical thinking, issue spotting, interviewing, research, and quantitative skills.
  • Possess a highly proficient level of knowledge of securities products, activities of member firms and the industry.
  • Support Application Managers in conducting reviews of other analysts’ work product. Assist other analysts on MAP matters or special projects as needed.
  • Actively lead and participate in meetings on firms with minimal supervision.
  • Proactively identify ideas for in-house training.
  • Participate in developing course content and advising the Member Regulation Training unit on technical accuracy of classroom material.
  • Serve as a mentor and coach to other staff.
  • Moderate and/or present subject matter material at internal meeting and conferences including, new analyst trainings or other FINRA training programs.
  • Participate in Peer and/or Quality Reviews for the district, regional or national program.

Education/Experience Requirements:

  • Bachelor’s degree or an equivalent combination of education and experience required.
  • Highly proficient level of knowledge of business conduct risk and industry practices, securities industry rules, regulations and best practices required.
  • Demonstrate highly proficient knowledge of risk analysis and proactive risk identification.   Possess strong analytical skills.
  • Demonstrate a track record in developing appropriate regulatory responses and/or processes for managing risks.
  • Excellent oral and written communication and presentation skills.
  • Possess excellent time management skills.
  • Minimum of six years of securities, compliance or financial regulatory experience.
  • Exemplify the FINRA Leadership Characteristics and serve as a role model for staff in the department.

Work Conditions:

  • Extended hours may be required.  Work expectations include timely and high-quality productivity.

For work that is performed in CA, Washington, DC, CO, HI, New York, NY, WA and MD 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/Maryland: 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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