Senior Principal Business Analyst, Transparency Services

The Product Management Business Analyst Senior Specialist works on the development and distribution of technical specifications and related coding guidance for participants. The position 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. This role collaborates with FINRA Technology in researching and directing the technology vision to provide appropriate solutions and functionality for Transparency Services products. The role collaborates with participants and other FINRA departments, ensuring that Transparency Services products support the vision and provide accurate and timely data transmissions. The job requires extensive understanding of system design, interfaces, trade reporting and maintaining the integrity of data capture and audit trail transmission for surveillance, analysis and billing. The Product Management Business Analyst Senior Specialist has an extensive understanding of the securities industry processing including a working knowledge of FINRA member firm's order and trade reporting systems and Exchange based systems. The Product Management Business Analyst Senior Specialist is a key stakeholder in the quality assurance process and is an active participant in hardware and software reviews and release testing to ensure the integrity of the FINRA processing environments. In addition, the Product Management Business Analyst Senior Specialist is responsible for collaborating with the Equity and Fixed Income Business teams to keep 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.

• Manages and oversee all stakeholders involved in the implementation of changes for the customer (e.g., policy, procedure, process, technology, training, and communication). Ensures system enhancements are delivered in a timely manner, and communicated consistently across the organization.

• Collaborates with Senior Management by preparing high level briefings, providing advice and expertise on complex technical and strategic plans, and leading internal process improvement initiatives.

• Coaches and trains junior colleagues in techniques, processes and responsibilities.

• In conjunction with the communications department, keeps websites, emails, and FAQs up-to-date in order to interpret rules and procedures for usage of systems. To that end, originates initial drafts of technical specifications, user manuals, and will be responsible for technical input or review of Notices to Members that address system related topics.

• Oversee the creation of requirements and provide business guidance to technology vendor on mandated industry-wide initiatives, as well as providing support and guidance for external system users.

• Reviews quality and content of participant specifications to ensure accuracy and compliance with FINRA rules and technical requirements.

• Manages data requirements across FINRA divisions including: Technology, Market Regulation, Member Regulation and OGC.

Education/Experience

• BA/BS in Finance or Business and a minimum of eight (8) years of experience in the fixed income and/or equities industry with hands-on system experience with fixed income and/or equity Order Management Systems or trade reporting systems.

• Project management experience.

• Demonstrated experience documenting solutions for complex business and data intensive systems.

• Proficient at technical business writing, including functional requirement specifications, workflows, use-cases and other documentation methodologies.

• 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.

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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