Senior Analyst, MS Operations, Procedures & Standards - Any Finra Location

This is an individual contributor role in Member Supervision's Operations, Procedures and Standards (MS OPS) team, working under moderate supervision to assist with the development, implementation, and maintenance of operations, procedures, standards, and reporting impacting departments across Member Supervision. This role continuously evaluates the program for areas of improvement, helps to resolve complex operational issues, and supports regulatory initiatives by partnering with key stakeholders across the enterprise

Essential Job Functions:

• Participates in the establishment of centralized operational processes to increase efficiency, minimize duplication, and ensure sufficient controls are in place.

• Assists in the enhancement and/or development of new process, controls, or procedures.

• Develops and implements departmental specific policies, procedures, and guidance, under manager supervision.

• Produces and disseminates reporting to key stakeholders.

• Aids in the periodic assessment of procedures to determine if further development or updates are required.

• Maintains and continuously develops knowledge of departmental functions and industry developments.

• Participates in the regulatory change process for a subset of business units and assists with performing impact assessments.

• Supports team in facilitation of departmental-wide meetings to communicate updates and train staff on programmatic changes to processes, tools, controls, technology, policy/procedures.

• Develops and maintains working relationships across Member Supervision, throughout FINRA, and other external stakeholders, including the SEC, states, other regulatory agencies, and the industry.

• Assists in maintenance of content on Regulatory Operations systems and internal websites.

• Support the development and maintenance of operational metrics, providing insight into key performance and risk indicators for senior management

Other Responsibilities

• Assists senior staff with strategic objectives deliverables and issue remediation, as needed.

• Assist with special projects and ad hoc initiatives including, but not limited to internal and external requests, as needed.

Education/Experience Requirements:

• Bachelor's degree in business or related field and a minimum of three (3) years of directly related securities experience, or an equivalent combination of education and relevant experience.

• Demonstrated understanding of regulatory/policy requirements, the impact on process and controls, and ability to succinctly document all elements.

Knowledge Requirements:

• Basic knowledge of securities rules and regulations.

• Basic knowledge of firm business models, business lines, customer bases, products and services.

• Developing knowledge of U.S. GAAP accounting standards.

Skill Requirements:

• Developing ability to engage and work effectively with senior business management, across departments, and with staff in multiple locations, including partnering and collaborating with various internal departments for the identification and trending of industry and business model risks for summation and reporting to senior management.

• Strong written and verbal communication, including interpersonal skills and presentation skills. Strong financial analysis and research skills.

• Ability to manage increasingly complex assignments concurrently, including unstructured assignments that require autonomy and independent judgment.

• Proactive & solutions-oriented approach; innovative; collaborative and energized by the open exchange of ideas.

• Strong quantitative, analytical, problem-solving skills, including the ability to accumulate, organize, and assimilate large amounts of information.

• Strong organizational, time-management, problem solving, and organizational skills are highly desired. Attention to detail is essential.

• Proficiency in Microsoft Windows-based software applications

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 of $78,900, Maximum Salary $146,900

Washington, DC: Minimum Salary $78,900, Maximum Salary $140,800

Colorado/Hawaii: Minimum Salary $68,500, Maximum Salary $122,300

New York, NY: Minimum Salary $82,200, Maximum Salary $146,900

Washington State: Minimum Salary $68,500, Maximum Salary $140,800

#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.

Please note: If the "Apply Now" button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.

FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at 240.386.4865 or by email at EmployeeRelations@finra.org. Please note that this process is exclusively for inquiries regarding application accommodations.

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.

2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.