Finra

The Principal Analyst in MRTS Regulatory Compliance is responsible for a wide range of tasks in support of various regulatory compliance functions for Market Regulation and Transparency Services (MRTS), including those related to responding to government access and data requests, coordinating former employee reviews, and administering department-wide policies and procedures.

Essential Job Functions:

• Prepares responses to access and data requests from federal and state civil and criminal authorities, Self-Regulatory Organizations (SROs), and foreign regulators seeking the production of documents, data, and other information maintained by MRTS. Provides guidance to staff related to responses to access requests. Works with FINRA’s Office of General Counsel to provide MRTS data and information in response to subpoenas. Works with FINRA’s Office of Oversight Liaison and Counsel to prepare quarterly reports to RSA clients on government access and data requests per relevant Communication Protocols.
• Assists the Director in responding to Securities and Exchange Commission (SEC) oversight inspections and examination requests.
• Administers MRTS’s policy and procedures management function, including regular publication of policy/procedure updates, maintenance of common procedures and guidance, and management of the annual certification process. Provides support to the MRTS functional areas on the administration of policy/procedure updates and maintenance of common procedures and guidance.
• Coordinates the Former Employee Review process for MRTS, which involves addressing potential conflicts of interest associated with former employees who may have performed work related to their employing broker-dealers. Assists the Director in resolving former employee review-related compliance issues and inquiries.
• Assists with the tracking of SEC, FINRA Internal Audit, RSA exchange, and third-party audit commitments owned by MRTS and owned jointly by MRTS and FINRA Technology to ensure their timely completion. Provides support to MRTS staff in responding to FINRA Internal Audit reviews and RSA exchange audits, as needed.
• Conducts data analysis, runs queries, and prepares operational reports and statistics in support of the operations of the group.
• Assists the Director in special projects and other regulatory compliance-related initiatives.

Education & Experience Requirements:

• Bachelor’s degree and a minimum of seven (7) years’ experience; or an equivalent combination of education and experience in related fields.
• Experience in auditing, investigations, and/or examinations preferred.
• Experience with the securities market structure, associated data, securities regulations and MRTS business processes, operations, reporting and applications strongly preferred.
• Experience in the assessment and implementation of business processes, process improvement and strategic initiatives is required.
• Strong project management and organizational skills with excellent attention to detail.
• Demonstrated ability to work effectively on multiple time-sensitive matters and meet deadlines.
• Strong written and verbal communication skills, including excellent interpersonal and presentation skills.
• Proficiency in Microsoft Excel, PowerPoint, and Word is essential.

Working Conditions:

• Hybrid work environment.
• Work environment includes high productivity expectations and tight deadlines.
• Extended hours 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 $106,400, Maximum Salary $200,200

Washington, DC: Minimum Salary $106,400 Maximum Salary $191,800

Colorado/Hawaii: Minimum Salary $92,500, Maximum Salary $166,800

New York, NY: Minimum Salary $111,000, Maximum Salary $200,200

Washington State: Minimum Salary $92,500, Maximum Salary $191,800

#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.