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FINRA · 23 hours ago

Principal Analyst, Transparency Services Equities

New York, NY (Job Posting)

Full-time

Hybrid

Senior Level, Lead/Staff

$110K/yr - $206K/yr

7+ years exp

FINRA is the Financial Industry Regulatory Authority, and they are seeking a Principal Analyst in Transparency Services Equities. This role is responsible for monitoring trade reporting integrity, conducting complex data analysis, and coordinating with various internal and external teams to ensure compliance with regulatory requirements.

FinanceFinancial ServicesNon Profit

Culture & Values

Responsibilities

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

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

Qualification

Financial services data analysisRegulatory compliance knowledgeExecutive-level reportingData collection methodsKey performance indicatorsCoaching skillsCommunication skillsProblem-solving skillsTime management skills

Required

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

Benefits

Comprehensive health, dental and vision insurance

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

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

Adoption assistance

Backup family care

Surrogacy benefits

Employee assistance

Wellness programs

Generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days

Two volunteer service days

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)

Childbirth and parental leave (available after 90 days of employment)

Nine paid holidays

Company

FINRA

Glassdoor4.0

The Financial Industry Regulatory Authority (FINRA) is an independent regulator for securities firms doing business in the U.S. It is a sub-organization of Thrivent.

Founded in 2007

Washington, District of Columbia, USA

1001-5000 employees