Principal Analyst, MRTS Regulatory Compliance

The Principal Analyst in MRTS Regulatory Compliance is responsible for a wide range of tasks in support of various regulatory compliance functions for Market Regulation and Transparency Services (MRTS), including those related to responding to government access and data requests, coordinating former employee reviews, and administering department-wide policies and procedures.

Essential Job Functions:


* Prepares responses to access and data requests from federal and state civil and criminal authorities, Self-Regulatory Organizations (SROs), and foreign regulators seeking the production of documents, data, and other information maintained by MRTS.  Provides guidance to staff related to responses to access requests.  Works with FINRA’s Office of General Counsel to provide MRTS data and information in response to subpoenas.  Works with FINRA’s Office of Oversight Liaison and Counsel to prepare quarterly reports to RSA clients on government access and data requests per relevant Communication Protocols.


* Assists the Director in responding to Securities and Exchange Commission (SEC) oversight inspections and examination requests.


* Administers MRTS’s policy and procedures management function, including regular publication of policy/procedure updates, maintenance of common procedures and guidance, and management of the annual certification process.  Provides support to the MRTS functional areas on the administration of policy/procedure updates and maintenance of common procedures and guidance.


* Coordinates the Former Employee Review process for MRTS, which involves addressing potential conflicts of interest associated with former employees who may have performed work related to their employing broker-dealers.  Assists the Director in resolving former employee review-related compliance issues and inquiries.


* Assists with the tracking of SEC, FINRA Internal Audit, RSA exchange, and third-party audit commitments owned by MRTS and owned jointly by MRTS and FINRA Technology to ensure their timely completion.  Provides support to MRTS staff in responding to FINRA Internal Audit reviews and RSA exchange audits, as needed.


* Conducts data analysis, runs queries, and prepares operational reports and statistics in support of the operations of the group.


* Assists the Director in special projects and other regulatory compliance-related initiatives.

Education & Experience Requirements:


* Bachelor’s degree and a minimum of seven (7) years’ experience; or an equivalent combination of education and experience in related fields.


* Experience in auditing, investigations, and/or examinations preferred.


* Experience with the securities market structure, associated data, securities regulations and MRTS business processes, operations, reporting and applications strongly preferred.


* Experience in the assessment and implementation of business processes, process improvement and strategic initiatives ...