Principal Analyst, Regulatory Services Management

The Principal Analyst in the Regulatory Services Management team ( RSM ) 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 for RSM standard and non-standard reports to be delivered to the Regulatory Service Agreement (RSA) Exchanges and other FINRA customers, 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 Senior Director, Regulatory Services Management.

Essential Job Functions :

• Executing all aspects of the Change Control / Request ( CR ) process, including coordination of internal and external meetings, responses and reporting to assist and fill in as lead, when needed.
• Executing all aspects of the RSA Exchange Regulatory Oversight Committee (ROC) reporting process, including coordination of internal and external meetings to gather content and feedback to assist and fill in as lead, when needed.
• Participate in developing alternatives, enhancements, and solutions to maximize the Change Control / CR and RSA Exchange ROC Reporting process effectiveness, consistency and efficiency.
• Executing, streamlining and automating the RSA Compliance Survey to ensure that FINRA is complying with its RSA responsibilities, including updating the RSA Compliance Survey based on contractual updates, engaging with FINRA staff performing services under the RSAs and preparing required reports and memos for RSM senior management.
• Assisting the RSM Reporting Team with analyzing RSM’s List of Reports to determine how to combine, decommission or enhance reports to improve the consistency and efficiency of RSA Exchange reports.
• Support the ELAs with the following, as needed : maintenance of rules matrices; performing regular reviews and updating of Communication Protocols (CPs);

and responding to RSA Exchange oversights and ad hoc requests.

• Assist RSM senior management and staff with drafting / regularly reviewing and updating relevant RSM policies and procedures.
• Assist RSM senior management and staff with special projects, as requested.
• Identify and escalate any RSM related issues to RSM’s Senior Director in a timely manner with proposed recommendations for resolving such issues.
• Provides strategic advice on complex reporting and technological issues, and problems raised by the RSM team, Regulatory Operations teams, RSA Exchanges, and other FINRA customers, as applicable, in coordination with Regulatory Operations staff, including monitoring and resolving such issues.
• Leads collaboration with Regulatory Operations teams regarding changes and updates to the RSM protocols.
• Maintenance of RSA Gateway, including tracking deliverables on the portal and managing regulatory risk issues.

Education & Experience Requirements :

• A Bachelor’s degree and a minimum of eight (8) 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 with securities market structure issues, associated data, regulations and / or market surveillance business processes is strongly preferred.
• Juris Doctorate is preferred.
• Strong verbal and written communication skills are essential.

Working Conditions :

• Work is normally performed in an office / remote office environment.
• Some travel may be required.

For work that is performed in CA, Washington, DC, CO, HI, New York, NY and WA, 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 : 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

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