Principal Analyst, Transparency Services – Equities
FINRA
full-time
Posted on:
Location Type: Hybrid
Location: New York City • California • Colorado • United States
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Salary
💰 $95,300 - $206,200 per year
Job Level
About the role
- 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 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
- Leads multi-level initiatives across the organization
- Provides subject matter expertise in regulatory area to advance FINRA and industry initiatives
- Remains current on industry trends, practices, and regulatory impacts
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
- 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
- Expertise in leveraging both internal and third-party vendor data sources to drive strategic insights
- Proven track record of developing sophisticated executive-level reporting
- Superior organization and time management skills
- Exceptional verbal and written communication skills to work with all levels directly to resolve issues
- Exceptional ability to operate autonomously in dynamic, unstructured environments
Benefits
- Comprehensive health, dental and vision insurance
- Basic life and accidental death and dismemberment insurance
- Supplemental life and insurance for spouse/domestic partner and dependent life
- Short- and long-term disability
- Long-term care insurance
- Business travel accident insurance
- Disability and legal insurance
- 401(k) plan with company match
- FINRA-funded retirement contribution
- Tuition reimbursement
- Commuter benefits
- Adoption assistance
- Backup family care
- Surrogacy benefits
- Employee assistance
- Wellness programs
- 15 days of paid time off, 5 personal days and 9 sick days
- Two volunteer service days
- 9 paid holidays
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
data analysisdata collection methodskey performance indicatorsfinancial services data analysisexecutive-level reportingregulatory compliancemarket surveillancebroker-dealer regulationfinancial regulationdata analytics
Soft skills
coachingcollaborationleadershiporganizationtime managementverbal communicationwritten communicationautonomyproblem-solvingadaptability
Certifications
Bachelor’s Degree