Associate Principal Analyst, MS Operations, Procedures and Standards

FINRA • Rockville, MD

132d • $81,900 - $176,000

About The Position

As an established individual contributor in Member Supervision Operations, Procedures and Standards (MS OPS), you'll work under moderate supervision to develop, implement, and maintain operations, procedures, standards, and reporting. You'll evaluate programs for improvement, resolve complex operational issues, and advance regulatory initiatives through strategic stakeholder partnerships.

Requirements

• Bachelor's degree in business or related field
• Minimum of four (4) years of directly related securities experience, or an equivalent combination of education and experience
• Knowledge of securities industry rules, regulations and guidelines required
• Demonstrated understanding of regulatory/policy requirements and their impact on process and controls
• Ability to succinctly document all elements
• Exemplifies research/analytical skills
• Excellent written and verbal communication skills, including interpersonal skills and presentation skills
• Strong organizational, time-management, problem solving, and organizational skills are highly desired
• Attention to detail is essential
• Proficiency in Microsoft Windows-based software applications

Responsibilities

• Develop and implement departmental policies, procedures, and guidance with limited supervision
• Conduct periodic procedure assessments to identify necessary updates
• Establish centralized operational processes to enhance efficiency, reduce duplication, and ensure robust controls
• Create and enhance processes, controls, and procedures
• Maintain intermediate knowledge of departmental functions and industry developments
• Manage regulatory change processes and impact assessments for business units
• Facilitate department-wide communications and staff training on programmatic changes
• Build relationships across Member Supervision, FINRA, and with external stakeholders including SEC, state agencies, and industry partners
• Support senior staff with strategic objectives and issue remediation
• Develop and maintain content for Regulatory Operations systems and internal websites
• Produce and distribute reports to key stakeholders with minimal supervision
• Develop operational metrics providing insights on key performance and risk indicators
• Lead special projects and ad hoc initiatives, including internal and external requests
• Coach junior colleagues on techniques, processes, and responsibilities

Benefits

• Comprehensive health, dental and vision insurance
• Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life insurance
• Short- and long-term disability insurance
• 401(k) plan with company match and eligibility for additional FINRA-funded retirement contribution
• Tuition reimbursement
• Commuter benefits
• Adoption assistance
• Backup family care
• Surrogacy benefits
• Employee assistance programs
• Wellness programs
• 15 days of paid time off, 5 personal days, and 9 sick days
• Two volunteer service days
• Paid holidays

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Industry: Executive, Legislative, and Other General Government Support
• Education Level: Bachelor's degree