The Principal Analyst in Transparency Services Equities is responsible for monitoring and responding to real-time trade report and data dissemination issues. This role coordinates multiple internal teams (e.g., FINRA Market Operations, FINRA Client & System Management, etc.) and external parties (e.g., TRF Business Members, SEC staff, firms, etc.) to respond to emergencies and events. This role analyzes trade data and trading events to make recommendations to senior leadership to meet SEC requirements. This position is an experienced individual contributor in Business Analytics, who works independently with minimal supervision.
Essential Job Functions:
- Monitors trade reporting integrity for regulatory compliance.
- Facilitates compliance with Transparency Services Reg SCI requirements.
- Conducts complex data analysis to identify trends, patterns, and insights that can be used to inform business decisions.
- Designs and implements data collection methods and tools to advance optimal business analytics processes.
- Determines key performance indicators and develops methods to effectively measure and track them on a regular basis.
- Coaches more junior colleagues in techniques, processes, and responsibilities.
- Demonstrates FINRA’s values.
- Collaborates, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.
Other Responsibilities:
Leads multi-level initiatives across the organization.
Provides subject matter expertise in regulatory area to advance FINRA and industry initiatives (e.g., LULD Plan, rule filings, market events, congressional testimony preparation, etc.)
Remains current on industry trends, practices, and regulatory impacts
Education/Experience Requirements:
Bachelor’s Degree and a minimum of seven (7) years of experience in finance, compliance, or a related field.
Knowledge of, and experience with, the regulation and operation of U.S. broker-dealers, as well as familiarity with the broader landscape of financial regulation. Experience with securities market structure issues, associated data, regulations and/or market surveillance business processes is required.
Demonstrates advanced proficiency in financial services data analysis, with expertise in leveraging both internal and third-party vendor data sources to drive strategic insights.
Proven track record of developing sophisticated executive-level reporting that translates complex metrics and data analytics into clear, actionable strategic intelligence.
Superior organization and time management skills with proven ability to prioritize and execute against multiple projects simultaneously under tight deadlines, while maintaining outstanding attention to detail and customer service.
Exceptional verbal and written communication skills to work with all levels directly to resolve issues.
Exceptional ability to operate autonomously in dynamic, unstructured environments, consistently demonstrating strategic problem-solving, risk-informed decision-making, and proactive program innovation.
Working Conditions:
Hybrid work environment, with defined in-person presence requirements.
This individual will be working on a 4am-12pm shft
Extended hours may be required.
Travel will be required, as necessary.
For work that is performed in CA, CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the 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.
CA: Minimum Salary $109,600, Maximum Salary $206,200
CO/FL/TX: Minimum Salary $95,300, Maximum Salary $171,800
IL*/PA: Minimum Salary $104,900, Maximum Salary $189,400
MA/MD/VA/Washington, DC: Minimum Salary $109,600 Maximum Salary $197,600
NY*/NJ: Minimum Salary $109,600, Maximum Salary $206,200
*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.
#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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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 atEmployeeRelations@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. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, 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, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
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, unless otherwise required by law (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 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.
All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws.
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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