The Principal Analyst of the Metrics and Reporting ("Metrics") team in FINRA's Department of Market Regulation and Transparency Services ("MRTS") is responsible for performing a wide variety of tasks in support of establishing and maintaining controls related to Market Regulation's production of internal and external reports for internal standard and non-standard reports to be delivered to the business units as applicable.
This is senior-level professional work in which incumbents are defining their assigned roles, applying their job skills, and working under general guidance.
This position reports directly to the Associate Director, MRTS Metrics and Reporting, within the Office of the Chief of Staff.
Essential Job Functions :
- Provides strategic advice on complex reporting and technological issues raised by the MRTS business units, Regulatory Services Management ("RSM") team, Regulatory Operations teams, and other FINRA customers, as applicable.
- Assists with creation of requirement specifications and business program projects, including continuous improvement, and system impact assessments with participation from internal and external stakeholders that require subject matter expertise.
- Prepares and distributes the monthly and quarterly metrics and other information provided to internal customers, Exchanges and FINRA's Board and Committees.
- Manages, tracks, and resolves complex issues and problems.
- Ensures collaboration and coordination with the RSM team and Regulatory Operations staff regarding standard and ad hoc reporting.
- Maintains systems and reference data owned by MRTS.
- Assists with the collection of complex materials responsive to audit and oversight requests.
Education & Experience Requirements :
- Experience with business intelligence tools and the associated programming language (e.g., DAX for Power BI or VizQL for Tableau) is required.
- A Bachelor's degree and a minimum of seven (7) years' experience; or an equivalent combination of education and experience.
- Experience in the assessment and implementation of business processes, process improvement and strategic initiatives is required.
- Experience in defining, analyzing, and documenting business requirements is required.
- Experience with securities market structure issues, associated data, regulations and / or market surveillance business processes is strongly preferred.
- Experience with business intelligence tools and the associated programming language (e.g., DAX for Power BI or VizQL for Tableau) is required..
- Strong verbal and written communication skills are essential.
Working Conditions :
- Work is normally performed in an office environment / remote office.
- Some travel may be required.
For work that is performed in CA, Washington, DC, CO, HI, New York, NY, WA and MD the chart below outlines the proposed salary range for the corresponding location.
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
California : Minimum Salary $106,400, Maximum Salary $200,200
Washington, DC / Maryland : Minimum Salary $106,400 Maximum Salary $191,800
Colorado / Hawaii : Minimum Salary $92,500, Maximum Salary $166,800
New York, NY : Minimum Salary $111,000, Maximum Salary $200,200
Washington State : Minimum Salary $92,500, Maximum Salary $191,800
LI-Hybrid
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.
Please note : If the "Apply Now" button on a job board posting does not take you directly to the FINRA Careers site, enter www.
finra.org / careers into your browser to reach our site directly.
FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at redacted or by email at EmployeeR redacted .
Please note that this process is exclusively for inquiries regarding application accommodations.
Employees may be eligible for a discretionary bonus in addition to base pay. 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 and many other benefits.
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 (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.
Based on full-time schedule
Important Information
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.
FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts.
All of those accounts are subject to the Code's investment and securities account restrictions, and new employees must comply with those investment restrictions-including disposing of any security issued by a company on FINRA's Prohibited Company List or obtaining a written waiver from their Executive Vice President-by the date they begin employment with FINRA.
Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.
You can read more about these restrictions here.
As standard practice, employees must also execute FINRA's Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company's policy on nepotism.
Search Firm Representatives
Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity.
Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA.
All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.
FINRA is an Equal Opportunity and Affirmative Action Employer
All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person's relatives, friends or associates.
FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.
FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.
2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.