Senior Principal Data Analyst, Enforcement

Financial Industry Regulatory Authority, Inc. Dallas , TX 75201

Posted 2 months ago

The Senior Principal Data Analyst independently performs accurate data analysis in large complex Enforcement matters in accordance with well-established methodology. The Senior Principal Data Analyst is responsible for the strategic design and implementation of complex analytical and/or advanced data abstraction models for various securities products, complex fact patterns, new rules, high risk activities as well as performing ad hoc market analysis in support of the Enforcement Department. This role will be responsible for working with large volumes of data to identify securities law and rule violations, as well as detecting and understanding trends in the market place.

Independently perform accurate data analysis in large complex matters

  • Conduct advanced analyses and establishes and maintains consistent methodology

  • Serve as the lead quantitative research analyst in building sophisticated models, determining proper empirical methodology, organizing data collection, writing unique programs, preparing written reports, and summarizing the results of analytic studies in formal and informal presentations.

  • Identify and resolve questions about the best approach to data analysis in order to ensure consistency in matters across FINRA

  • Independently identify new investigative or analytics techniques as needed and assess the model for consistency with accepted approaches

  • Strategic design of quantitative reviews for detecting securities law and rule violations leveraging large volumes of equity, options and fixed income data

  • Develop state-of-the-art software tools to collect, and analyze large volumes of structured and/or unstructured data

  • Provide efficient quantitative support for market studies and investigations

  • Effectively describe data analysis and findings, noting exceptions or assumptions embedded in analysis

  • Independently identify interpretive or novel issues, and participate in discussions with other departments regarding interpretive issues

  • Communicate with other investigative units across FINRA to problem-solve and resolve conflicts in investigative approaches or inconsistent findings

Independently and efficiently complete data analysis in all types of Enforcement Investigations and reviews to achieve timely results.

  • Establish timelines and achieve them, including directing the work of other team members to progress the case in a timely fashion

  • Identify and escalate matters or issues that require re-prioritization, and recommend next steps or alternative approaches

  • Prioritize risks and needs appropriately

  • Provide work product that requires minimal change or re-direction

Independently collaborate with investigative team, including attorneys, to produce a sound factual record supported by a clear legal framework in all types of matters.

  • Partner with legal staff to plan investigation and fully develop the record in all matters, with respect to data analytics

  • Accurately and succinctly discuss any case or issue in meetings with respondents and other stakeholders

  • Provide clear and accurate factual findings to legal staff, and provide insight from industry experience and/or subject matter expertise to help objectively assess the sufficiency of evidence

  • Proactively identify and discuss relevant and accurate factual findings with legal staff including areas of weakness or factual ambiguity

  • Provide effective testimony in litigation

Demonstrate ability to perform independently and lead teams where appropriate.

  • Identify opportunities to work with staff in other departments or leverage other matters for more efficient results, and manage team's work product

  • Support management and others to inform internal and external constituents on overall program vision, strategy, operations, processes, and implementation status

  • Counsel and train other staff on efficient ways to leverage collective knowledge and work across the organization

  • Works with team members to achieve more efficient results

  • Provide feedback and/or deliver training to other team members and coach performance as appropriate

Education/Experience Requirements:

  • Graduate degree in Computer Science, Economics, Finance or Accounting with a minimum of ten (10) years of related experience. Experience can be a substitute for advanced degrees. Advanced degree is highly desirable. Must have strong financial and risk analytical skills and have some experience in operations and risk modeling fields, as well as the ability to analyze large amounts of data in an efficient manner.

  • At least 4 years of experience and knowledge in the field of quantitative analysis as it relates to the securities industry.

  • Experience in advanced statistical methods, pattern recognition, outlier detection algorithms, and/or building predictive models. Toolkits could include: SQL, Python/R, Strata, Tableau, Plotly, Shiny, Spark, Presto, etc.

Work Conditions:

  • Work outside of normal business hours and overnight travel may be required.

To be considered for this position, please submit an application.

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 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 accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.

In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.

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.

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Senior Principal Data Analyst, Enforcement

Financial Industry Regulatory Authority, Inc.