Data Specialist, Credit Regulation, Office of Financial and Operational Risk Policy

The Credit Regulation Data Specialist is responsible for supporting the department in the oversight and application of the margin rules and regulations.

This entails applying knowledge and analytical skills regarding various rules, regulations, and procedures to ensure that regulatory filings are correct and data enhancement projects are effectively managed.

Additionally, the Credit Regulation Data Specialist represents the department both within and outside of FINRA and will work across operational groups to provide analytical support.

Essential Job Functions:


* Provides high quality data analytical support to management in Credit Regulation and the Office of Financial and Operational Risk Policy.


* Provides support in the review of margin data submitted by member firms.


* Leads the development new data sources and constructs.


* Provides advice on the data needed to support regulatory changes.

(e.g., new rules, interpretations, etc.)


* Leads in creating new and enhancing existing reports to assist in our oversight of member firm’s credit exposure.


* Assists in reviews of member firm margin lending programs.


* Works closely with technology staff on infrastructure needed to support the group’s data requirements.


* Reviews processes and procedures in data collection with a goal to recommend improvements and assist in implementation of those recommendations.

Other Responsibilities:


* Participates in meetings with other regulators, member firms and internal staff with a focus on data needed to support outcomes and decisions.

Education/Experience Requirements:


* Bachelor’s degree in accounting, finance, economics, business administration or related fields, and a minimum of four years of related experience; or an equivalent combination of education and relevant experience required.


* Moderate securities, compliance, or financial regulatory experience.


* Working knowledge of Power BI, MS Access; SQL or other programming languages.


* Strong work ethic, positive attitude, and professional demeanor.


* Effective communication, time management, and organizational skills.


* Ability to work with others to meet deadlines.


* Ability to perform multiple tasks efficiently and accurately.


* Ability to work independently with moderate supervision.

Working Conditions:


* Hybrid work environment (remote/office) with hours which may extend beyond normal business hours.


* Travel will be required, as necessary.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the 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.

CA: Minimum Salary $94,200...