Principal Analyst, Transparency Services Equities - Extended Hours

FINRA•Rockville, MD

5d•$97,700 - $211,400•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. Will be responsible for extended hours support of FINRA trading systems.

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

Discretionary bonus
Overtime pay
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 insurance
Immediate participation and vesting in a 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
Generous time-off program starting at 15 days of paid time off (increasing with years of service, up to 25 days)
5 personal days
9 sick days
Two volunteer service days
Military leave
Jury duty leave
Bereavement leave
Voting and election official leave
Care of a family member leave
Childbirth and parental leave
Nine paid holidays