Senior Principal Analyst, FINRA CAT Technology

The Senior Principal Analyst in the Office of the Chief Technology Officer (OCTO) of FINRA CAT is responsible for the management and execution of Chief Technology Office initiatives, Consolidated Audit Trail (CAT) financial reporting and analysis, management of working groups and technical delivery of the CAT System.

This role is essential in enabling FINRA CAT to effectively deliver and maintain the CAT system.

Essential Job Functions:


* Works closely with the Deputy CTO, CTO and FINRA CAT Senior Management team to execute CAT National Market System (NMS) Plan required delivery of the CAT System.


* Manages and coordinates release plans, roadmaps and other program management tasks across Technology teams and departments that impact CAT operations.


* Develops and delivers organization's financial and budget planning and analysis activities with the Finance Department with emphasis on cloud platform costs.


* Manages the development of CAT NMS Plan required artifacts across teams (e.g., Weekly Technical Working Group artifacts, Monthly CAT Service Level Agreements (SLA) analysis, Quarterly Capacity Plan for cloud infrastructure, etc.)


* Monitors for program risks and develops solutions with FINRA CAT and Technology Senior Management, including the completion of quality control assessments and engagement with CAT Security to develop risk monitoring practices.


* Serves as departmental point of contact for advanced operational and navigational support for FINRA CAT systems, developing training for CAT User Acceptance Testing, and creating troubleshooting guides for employees across the enterprise.


* Manages contract updates and operation contract tasks with internal and external vendor parties.


* Directly interfaces with client (SRO) technical teams to resolve operational and/or technical issues for CAT Data submission workflow and/or CAT Data access tools


* Demonstrates FINRA’s values.


* Collaborates, both in-person and virtually, in furtherance of FINRA CAT’s mission.

Education/Experience Requirements:



* A bachelor's degree and a minimum of eight (8) years’ experience in Computer Science, Data Science, Data Analytics, or Engineering; or an equivalent combination of education and relevant experience.


* Minimum of five (5) years’ experience with cloud platforms like AWS, Azure, or Google Cloud.


* Experience with management of software delivery and software delivery lifecycles, preferably in organizations that focus on capital markets, financial services, trading, and other similar business industry.


* Superior organization and time management skills with proven ability to prioritize and execute against multiple projects simultaneously under tight deadlines, while maintaining outstanding attention to detail and customer service.


* Excellent written and oral communication skills with the ability to communicate at all levels of the organization.


* High proficien...