Principal Analyst, Member Supervision Information, Records & Entitlement Management - All FINRA Loca

This role is responsible for administering key aspects of Member Supervision’s ongoing information management, records management, and entitlements management programs and operations.

This individual will possess a strong track record of execution excellence in information management, records management, and entitlements management roles.

This role will collaborate frequently across the Member Supervision Department (“the Department”), and across FINRA’s Regulatory Operations, Data Privacy, Records Management, and Technology teams.

This role is an experienced individual contributor who works independently with minimal supervision.

Essential Job Functions:


* Provides complex navigational support for electronic information management systems by responding to technical inquiries from users at all levels, developing and delivering training demonstrations, and creating troubleshooting guides for employees across the Department.


* Independently conducts daily activities within the Information Management, Records Management, and Entitlements Management work area, including leading e-record conversions, implementing security and authorization controls, and ensuring policy compliance.


* Manages entitlements for the Department’s systems and records locations (e.g., approving requests, configuring entitlements groups, facilitating periodic entitlements reviews, etc.).


* Partners with Department Records Manager and Information Manager in:


* Developing and implementing firm and department policies and procedures, training and communication related to information classification, safeguarding of confidential information, establishing and administering related controls, reviewing and triaging loss reports, and other applicable information management guidelines.


* Collaborating with FINRA’s Regulatory Operations, Data Privacy, Records Management, and Technology to facilitate Department’s adoption of new records locations and best practices.


* Leading and serving as subject matter expert on projects to improve records management and information management processes and tools for the Department.


* Evaluates capabilities of emergent technologies and information management systems (in-house or third-party vendor) and prepares business impact analyses for senior management.


* Drives the success of work area processes by overseeing the collection, categorization, storage, distribution, and destruction of electronic and physical records and information.

Other Responsibilities:


* Advocates on behalf of the Department and Regulatory Operations, and the data owned by the Department in enterprise-level forums, including Enterprise Data Privacy Office, Enterprise Records, and the Data Management Governance Office.


* Represents the Department on internal committees related to the Information Management, Records Management, and Entitlements Management work area as needed.

Education/Experience Requiremen...