Principal Business Analyst, Transparency Services

3 weeks ago

San Francisco, United States finra Full time

The Client & Systems Management Principal Business Analyst will be responsible for creating the business and technical requirements for developers, as well as the distribution of technical specifications and related coding guidance for participants and downstream reference data consumers. Primary responsibilities include writing requirements, system testing, and production support. The Principal Business Analyst conducts analysis and planning for complex business initiatives and provides advanced-level technical and business support to systems, products, and end users. The Principal Business Analyst 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. The role collaborates with participants and other FINRA departments, ensuring that Transparency Services scheduled milestones and testing criteria for new products, as well as enhancements and maintenance releases, are completed and communicated timely. The Principal Business Analyst works in conjunction with the Transparency Services Client & Systems Management Director to ensure that FINRA Operations and Market Regulation employees are trained on new products and system enhancements in order to support the front-end systems for both real-time and post market surveillance. The job requires broad base knowledge of reference data interfaces, quote and trade reporting data capture and downstream data consumption. The Principal Business Analyst has broad base knowledge of securities industry processing, including a working knowledge of FINRA member firm’s order and trade reporting systems and Exchange-based systems. The Principal Business Analyst is a key stakeholder in the quality assurance process and is an active participant in software reviews and release testing to ensure the integrity of the FINRA processing environments. In addition, the Principal Business Analyst is responsible for keeping 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.

Essential Job Functions:

  • Create business requirements, technical specifications, user manuals, as well as Notices to Members to address system related topics.
  • Lead regular meetings with Market Operations, Market Regulation, OGC, Technology, and other stakeholders to ensure that the front-end systems integrate seamlessly into the regulatory environments for both real-time and post market surveillance.
  • Identify and document specifications for communication between FINRA applications. Coordinate with other FINRA departments to identify data elements needed for surveillance and regulation.  Participate in industry presentations (vendor meetings and industry notices), industry committees, and meetings with industry professionals. Prepare materials for presentations and participate in the presentation via teleconference or video.
  • Review quality and content of participant specifications and websites to ensure accuracy and compliance with FINRA rules and technical requirements.
  • Provide Production Support by monitoring Client & Systems Management inbox and responding to more complex client inquiries regarding data and interface related issues. Troubleshoot issues with the development team to identify and track bugs.
  • Manage data requirements across FINRA divisions, including Technology, Market Regulation, Member Regulation and OGC to ensure that they adhere to FINRA rules for quoting and trade reporting of fixed income and equity products.
  • Identify test case scenarios and create test scripts for internal and external users. Participate in application testing across FINRA divisions, including Technology, Market Regulation, Member Regulation and OGC.

Education & Experience Requirements:

  • Bachelor’s degree in Finance, Business, or related field and a minimum of seven (7) years of experience in the fixed income and/or equities industry.
  • Hands-on system experience with fixed income and/or equity OMS or trade reporting systems.
  • Proficiency and experience with application design of Equity and/or Fixed Income trade report and quoting systems for surveillance, and analysis.
  • Experience working with real time applications troubleshooting issues and responding quickly to resolve them with little to no impact to users.
  • Experience managing large scale technology projects. The ability to work in a fast-paced environment and manage changing priorities, within established guidelines and procedures.
  • 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.

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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