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Associate Principal Analyst, Data Specialists, Member Supervision
4 weeks ago
- Conducts and memorializes analyses for matters of routine to moderate risk and complexity, with moderate supervision and guidance. Participates in analyses of matters with high risk and complexity.
- Participates in strategic exploration and adoption of innovative solutions, to amplify Member Supervision’s ability to protect investors and uphold market integrity that may include but are not limited to coordinating with other specialists, risk analysts and data scientists for the development of analytics and tools to support the creation of intelligence.
- Under general direction of leadership, conducts analyses related to inquiries received from Risk Monitoring, Firm Examinations, Cause Examinations, Market Regulation, and Enforcement staff with moderate supervision and guidance.
- Under general direction of leadership, conducts regulatory matters that may include but are not limited to: (1) identification and scoping of risk analysis conducted in collaboration with Member Supervision staff; (2) analysis conducted in relation to internal/external tips or investigations; and (3) analysis conducted related to referrals.
Education & Experience Requirements:
- Bachelor’s degree in Accounting, Finance, Economics, Business Administration, Cybersecurity, Computer Forensics, Data Analytics, or related fields; or an equivalent combination of education and relevant experience required. Advanced degree/certification a plus.
- Moderate securities, compliance, or financial regulatory experience.
Knowledge Requirements:
- Intermediate knowledge of FINRA's risk fundamentals.
- Intermediate knowledge of securities rules and regulations.
- Intermediate knowledge of securities industry business models, business lines, customer bases, products, and services.
Skill Requirements:
- Ability to analyze complex data and communicate findings and recommendations in a clear and concise manner.
- Ability to effectively articulate analyses through verbal and written communications.
- Proven ability to demonstrate, support, and promote collaboration within team, group, and across FINRA.
- Intermediate analytical and investigatory skills to develop innovative solutions that further investigations.
- Proactively self-educate upon encountering novel and/or complex areas utilizing internal and external resources.
- Proficiency in extracting financial and securities-related data from sources including databases (using tools such as SQL) and big data environments, is preferred.
- Experience combining data from multiple sources and in assessing data quality, consistency, and completeness, is preferred.
- Ability to manage time effectively and complete assignments within budgeted timeframes.
- Ability to work independently with moderate supervision.
Jersey City, NJ/NY, NY: Minimum Salary $95,400, Maximum Salary $170,900MD/Washington, DC: Minimum Salary $91,500, Maximum Salary $163,700
WA: Minimum Salary $79,500, Maximum Salary $163,700*Including positions performed outside the state but reporting to an office or manager in that state.Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.
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