Job Description
FINRA abides by the requirements of 41 CFR 60-301.5(a). This regulation prohibits discrimination against qualified individuals on the basis of race, color, religion, sex, national origin, sexual orientation, gender identity, or disability in all programs or activities funded by the federal government.
Senior Principal Analyst, MS Operations, Procedures and Standards - All FINRA Locations
Job Title: Senior Principal Analyst, MS Operations, Procedures and Standards
Experience: Minimum of 8 years in the securities industry, with demonstrated leadership skills in accounting, audit, legal, compliance or related fields.
Organization: FINRA
Department: Member Supervision Operations, Procedures and Standards (MS OPS)
Salary: Varies by location, ranging from $111,400 - $242,600
Locations: All FINRA locations, including Boca Raton, FL, Jersey City, NJ, Jericho, NY, Denver, CO, Dallas, TX, Boston, MA, Woodbridge, NJ, Washington, DC, Chicago (North Wacker Drive), San Francisco, CA, Rockville, MD, Philadelphia, PA, New York, NY, and Los Angeles, CA.
Job Type: Full-time
Job Requisition ID: R-009247
Posted: Today
H1: Senior Principal Analyst, MS Operations, Procedures and Standards - All FINRA Locations
SEO Title: Senior Principal Analyst, MS Operations, Procedures and Standards - All FINRA Locations
Introduction:
FINRA is seeking a Senior Principal Analyst for Member Supervision Operations, Procedures and Standards (MS OPS) at all FINRA locations. This is a full-time position with a salary range of $111,400 - $242,600, depending on location and qualifications. The ideal candidate will have a minimum of 8 years of experience in the securities industry, with demonstrated leadership skills in accounting, audit, legal, compliance or related fields.
Responsibilities:
As a Senior Principal Analyst, you will be responsible for developing, implementing, and maintaining operations, procedures, standards, and reporting for Member Supervision Operations. This includes leading the establishment of centralized operational processes, implementing and enhancing new processes and controls, and maintaining expert working knowledge of departmental functions and industry developments. You will also partner with key stakeholders in regulatory change processes, facilitate departmental meetings, and lead the development of policies and procedures.
Other responsibilities include proactively assessing procedures for areas of improvement, participating in Governance Committees, cultivating strong working relationships across FINRA and with external stakeholders, and leading special projects and training efforts for MS OPS. You will also serve as an advisor on large scale initiatives and make recommendations to support the development of the strategic direction of operations within the department.
Requirements:
To be considered for this position, you must have a Bachelor's Degree and a minimum of 8 years of experience, or an equivalent combination of education and relevant experience. A major in Accounting, Finance, Economics, Business Administration, graduate degree (MBA or JD) and/or relevant industry certification(s) is a plus. You must also have demonstrated leadership skills within accounting, audit, legal, compliance or related fields.
Other requirements include expert working knowledge of securities industry rules, regulations and related guidelines, proficiency in Microsoft Office applications, excellent interpersonal, negotiation and diplomacy skills, and the ability to establish and maintain effective working relationships at all levels. You must also have excellent leadership, written and verbal communication skills, be a self-starter with strong project management and organizational skills, and be able to work independently.
Working Conditions:
This is a hybrid work environment, with defined in-person presence requirements. Extended hours may be required as needed.
Salary Information:
For work performed in certain states, the salary range varies. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons. The salary ranges for each location are as follows:
- CA: Minimum Salary $128,000, Maximum Salary $242,600 - CO/HI/MN/VT*: Minimum Salary $111,400, Maximum Salary $202,100 - IL*: Minimum Salary $122,800, Maximum Salary $222,400 - Jersey City, NJ/NYC, NY: Minimum Salary $133,700, Maximum Salary $242,600 - MA/WA: Minimum Salary $111,400, Maximum Salary $232,500 - MD/Washington, DC: Minimum Salary $128,000, Maximum Salary $232,500 - NJ State: Minimum Salary $122,800, Maximum $242,600 - NY State: Minimum Salary $111,400, Maximum Salary $242,600
*Including positions performed outside the state but reporting to an office or manager in that state.
Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at **MEMBERS ONLY**SIGN UP NOW***
Application and Important Information:
To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.
The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.
Important information to note if you are considering applying for this position:
- FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. Employees must disclose all brokerage accounts, and those in which they control trading or have a financial interest, and authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. Employees may only maintain securities accounts at firms that provide an e-feed of data to **MEMBERS ONLY**SIGN UP NOW*** - As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance, as well as other benefits that support employee wellness, such as adoption assistance,
