Principal Analyst, MS Operations, Procedures and Standards - All FINRA Locations

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

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

This role will have a focus on the review of subordinated loans and secured demand notes, including FOCUS reconciliation analyses and knowledge of Appendix D of the Net Capital Rule.

Essential Job Functions:


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


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


* Knowledge of securities industry rules, regulations and guidelines required specifically SEA Rule 15c3-1.


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


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


* Assists with the development and implementation of departmental specific policies, procedures, and guidance.


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


* 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.


* 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 or an equivalent combination of education and experience required.

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