Senior Analyst, TS Market Operations

FINRA•Rockville, MD

8d•$83,300 - $148,600•Hybrid

About The Position

The Senior Analyst in Market Operations section of Transparency Services supports the operation and monitoring of FINRA’s trade reporting facilities including communications with member firms, vendors, exchanges, regulatory organizations and other FINRA departments. This position is a professional individual contributor who works under direct supervision, exercising independent judgment on routine matters while collaborating with senior staff and management on complex issues. The position requires core hours coverage in support of FINRA trading systems, with scheduled 8 hour shifts falling within the 8:00 AM – 8:00 PM EST window.

Requirements

Bachelor's degree, preferably in Finance, Economics, or Business, and a minimum of three (3) years of experience in the securities/financial services industry, or financial markets operations or regulatory environment; or an equivalent combination of education and related professional experience.
Working knowledge of FINRA and other SRO rules as well as the Securities Exchange Act of 1934 and the rules and regulations thereunder.
Ability to identify potential securities rule violations.
Analytical and critical thinking skills with attention to detail.
Ability to work independently.
Written and verbal communication skills, including ability to prepare clear, concise reports and presentations for leadership.
Organizational skills with ability to manage multiple tasks, deadlines, and priorities simultaneously.

Nice To Haves

Experience with financial systems and databases preferred.

Responsibilities

Monitors intra-day trading across FINRA trade reporting facilities through system-generated alerts and phone and email inquiries independently resolving routine matters and conferring with senior staff and subject matter experts for guidance on complex or novel issues.
Delivers strong customer service by responding to inquiries from member firms, SROs, other FINRA departments, and vendors.
Maintains relevant databases that support the operation of the marketplace.
Maintains accurate and thorough documentation of all alert review activities.
Presents matters to senior leadership through clear, well-organized written summaries that support informed decision-making and ensure timely resolution of reviews.
May assist junior analysts on routine operational matters and day-to-day workflows as needed.
Applies regulatory knowledge in evaluating requests supporting FINRA's mission to maintain market integrity and investor protection.
Demonstrates FINRA's values.
Collaborates, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity.
Contributes to the development and enhancement of section policies and procedures.
Participates in the development and testing of analytics tools and operational methodologies that improve the efficiency and effectiveness of the team’s processes.
Remains current on industry trends, practices and regulatory impacts.

Benefits

Discretionary bonus
Overtime pay
Comprehensive health insurance
Dental insurance
Vision insurance
Basic life insurance
Accidental death and dismemberment insurance
Supplemental life insurance
Spouse/domestic partner and dependent life insurance
Spouse/domestic partner and dependent accidental death and dismemberment insurance
Short-term disability insurance
Long-term disability insurance
Long-term care insurance
Business travel accident insurance
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 program
Wellness programs
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