Senior Principal Analyst, MRTS Information Management

The Senior Principal Analyst in Information Management is responsible for the execution of Market Regulation and Transparency Services’ (MRTS) ongoing information management, records management, and entitlements management programs and operations. Given the sensitive datasets controlled by MRTS, this role requires considerable judgement and attention to established safeguards and processes. This role collaborates frequently within MRTS and across FINRA’s Regulatory Operations, Data Privacy, Records Management, and Technology Teams. This role is a senior individual contributor who is viewed as a valuable resource by peers and manages end to end projects and processes.

Essential Job Functions:

• Provides advanced operative and navigational support for electronic knowledge management systems by responding to technical questions, developing training demonstrations, and creating troubleshooting guides for employees across the enterprise.
• Acts independently to execute daily activities within the Information Management, Records Management, and Entitlements Management work area, including managing e-record conversions, administering security and authorization controls, and enforcing policy requirements.
• Formulates solutions designed to achieve operational, functional, and business targets related to new and existing technologies for knowledge management, storage, and sharing.
• Provides senior management with evaluations and analyses regarding latest trends, technologies, opportunities, and concerns in the Information Management, Records, Management, and Entitlements Management landscape and consults on prospective system integrations and process adaptations.
• Drives the success of work area processes by managing the collection, categorization, storage, distribution, and destruction of electronic and physical records and information.
• Designs and develops knowledge sharing processes and tools to facilitate the receipt of, accessibility, and retrieval of critical records and information by employees throughout the organization.
• Guides other colleagues through consultation and mentoring in techniques and processes and provides functional supervision.
• Integrates the culture of intelligence, integrity, and initiative into team goals and decisions.

Other Responsibilities:

• Advocates on behalf of MRTS and Regulatory Operations, and the data owned by MRTS in enterprise-level forums, including Enterprise Data Privacy Office, Enterprise Records, and the Data Management Governance Office.
• Represents MRTS on internal committees related to the Information Management, Records Management, and Entitlements Management work area as needed.
• Analyze, interpret, and summarize relevant complex regulatory/legal documents, such as SEC approval orders, requests for comment, and data use-related contracts to inform policy recommendations and interpretations.

Education & Experience Requirements:

• Bachelor’s degree and a minimum of nine (9) years of experience in the securities/financial services industry; or an equivalent combination of education and experience in positions of increasing responsibilities.
• Experience with securities market structure issues, associated data, regulations and/or market surveillance business processes is required.
• Advanced knowledge/training in business/legal writing.
• Advanced skills in the use of Microsoft Office Suite.
• Excellent written and verbal communications skills, including interpersonal and presentation skills.
• Strong organizational skills and excellent attention to detail.
• Advanced time management, prioritization and strong analytical skills required.
• Experience working on complex projects independently.

Working Conditions:

• This is a hybrid position, with office attendance expected as deemed necessary.
• Some travel may be required.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, and WA the chart below outlines the proposed 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 $146,200, Maximum Salary $296,100

CO/HI/MN/VT*: Minimum Salary $127,300, Maximum Salary $246,600

IL*: Minimum Salary $139,800, Maximum Salary $271,400

Jersey City, NJ/NY, NY: Minimum Salary $152,700, Maximum Salary $296,100

MD/Washington, DC: Minimum Salary $146,200, Maximum Salary $283,800

WA: Minimum Salary $127,300, Maximum Salary $283,800

*Including positions performed outside the state but re