Principal Analyst, Transparency Services Equities

FINRA•New York, NY

2d•$95,300 - $206,200•Hybrid

About The Position

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

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.

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

Benefits

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.

Stand Out From the Crowd

Upload your resume and get instant feedback on how well it matches this job.

Upload and Match Resume