Principal Analyst, MS Operations, Procedures and Standards

This position is an experienced individual contributor in Member Supervision Operations, Procedures and Standards (MS OPS), who works independently with minimal supervision to develop, implement, and maintain operations, procedures, standards, and reporting.

This role will continuously evaluate the program for areas of improvement, resolve complex operational issues, and support/lead regulatory initiatives by partnering with key stakeholders.

Essential Job Functions:


* Independently develops and implements departmental specific policies, procedures, and guidance.


* Periodically assesses procedures to determine if further development or updates are required, making recommendations as needed.

Where warranted, coordinates efforts to identify, prioritize and resolve areas of inconsistent procedural application.


* Participates and/or leads the establishment of centralized operational processes to increase efficiency, minimize duplication, and ensure sufficient controls are in place.


* Partners with key stakeholders to enhance and/or develop new processes, controls, or procedures.


* Maintains advanced working knowledge of departmental functions and industry developments.


* Participates in the regulatory change process for a subset of business units to ensure impact assessments are performed and necessary builds/updates occur.


* Facilitates departmental wide meetings to communicate updates and train staff on programmatic changes to processes, tools, controls, technology, policy/procedures.


* Participates and, where necessary, acts as a lead, on applicable Governance Committees.


* Cultivates strong working relationships across Member Supervision, throughout FINRA, and with other stakeholders, including the SEC, states, other regulatory agencies, and the industry.


* Partners with external stakeholders and senior leaders across the enterprise to accomplish strategic objectives, including, but not limited to issue remediation.


* Develops and maintains content on Regulatory Operations systems and internal websites.


* Independently produces and disseminates reporting to key stakeholders.


* In addition to providing support, actively participates in the development and maintenance of operational metrics, providing insight into key performance and key risk indicators for senior management.


* Leads special projects and ad hoc initiatives including, but not limited to internal and external requests.


* Coaches more junior colleagues in techniques, processes, and responsibilities.


* Models inspirational, accountable, and supportive leadership, develops and empowers talent at all levels, fosters a diverse and inclusive culture, and creates an environment of strong employee engagement.

Education/Experience Requirements:


* Bachelor’s degree in business or related field and a minimum of five (5) years of directly related securities experience, or an equivalent combination of educ...