Associate Principal Business Analyst, Transparency Services

The Associate Principal Business Analyst position is responsible for collaborating with senior business analysts on gathering, drafting, and creating requirements for developers, as well as drafting procedures, user guides, technical specifications and related coding guidance, in addition to testing and production support. The Associate Principal Business Analyst works in conjunction with the senior analysts to ensure that system users are trained on new applications and enhancements, and to support the various applications within Transparency Services that are used in collecting reference data, as well as both real-time and post market surveillance. The Associate Principal Business Analyst is required to apply a basic understanding of securities industry processing including a working knowledge of FINRA member firm's order and trade reporting systems and Exchange based systems. The Associate Principal Business Analyst contributes to the quality assurance process and is an active participant in software reviews and release testing to ensure the integrity of the FINRA processing environments.

• Collaborates with senior analysts in collecting and drafting business requirements, technical specifications, user manuals and procedures, as well as technical notices to Members to address system related topics.

• Networks with various business teams by participating in regular meetings with business sponsors such as Market Operations, Market Regulation and Office of General Counsel to ensure that the systems integrate seamlessly into the regulatory environments for both real-time and post market surveillance.

• Assists senior analysts in identifying milestones, maintaining project plans, tracking user feedback, and maintaining backlog, using tools such as Miro, JIRA, Excel, and Power Point.

• Provides Production Support by responding to client inquiries regarding data and system issues and escalating complex issues to senior business analysts.

• Participates in requirements reviews with stakeholders to ensure that the requirements meet user expectations.

• Assists in identifying and writing user stories and test scripts and participates in application testing.

• Creates user documentation, training materials, and provides end user training

Education/Experience Requirements:

• Bachelor's degree in Finance, Business, Information Technology or related field and a minimum of four (4) years of related experience.

• General understanding of fixed income and/or equity order management or trade reporting systems.

• Working knowledge of application design and analysis.

• The ability to work in a fast-paced environment and manage changing priorities, within established guidelines and procedures.

• Must have excellent organizational, verbal, and written communication skills.

Work Conditions:

• Hybrid work environment with some travel/in-person presence required.

• Extended hours, including occasional weekend testing 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 $91,500, Maximum Salary $170,900

Washington, DC: Minimum Salary $91,500, Maximum Salary $163,700

Colorado/Hawaii: Minimum Salary $79,500, Maximum Salary $142,300

New York, NY: Minimum Salary $95,400, Maximum Salary $170,900

Washington State: Minimum Salary $79,500, Maximum Salary $163,700

#LI-Hybrid

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

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Employees may be eligible for a discretionary bonus in addition to base pay. FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement and many other benefits.

Time Off and Paid Leave*

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

• Based on full-time schedule

Important Information

FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code's investment and securities account restrictions, and new employees must comply with those investment restrictions-including disposing of any security issued by a company on FINRA's Prohibited Company List or obtaining a written waiver from their Executive Vice President-by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

You can read more about these restrictions here.

As standard practice, employees must also execute FINRA's Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company's policy on nepotism.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person's relatives, friends or associates.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

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