Principal Compliance Analyst, Client & Systems Management

The Principal Compliance Analyst in Transparency Services works in partnership with the Senior Principal Compliance Analyst to manage all aspects of compliance with respect to the Regulation Systems Compliance and Integrity (“Regulation SCI”) rule, Federal Information Security Management Act (FISMA), and Federal Risk and Authorization Management Program (FedRAMP) for the Multi Product Platform application. This role ensures compliance with regulations, maintains appropriate policies and procedures, and coordinates with other FINRA departments such as Internal Audit, InfoSec, and FINRA technology, as well as our external technology provider, Nasdaq. The Principal Compliance Analyst conducts application testing in accordance with FINRA Rules, Reg SCI, FISMA and FEDRAMP requirements, collaborates with FINRA InfoSec team and Nasdaq to identify FISMA/FEDRAMP controls and provides continuous monitoring as defined by the Federal Reserve. The Principal Compliance Analyst serves as a backup to the Senior Principal Compliance Analyst for all compliance related matters.

Essential Job Functions:

• Manage all Reg SCI, FISMA and FEDRAMP related matters, in collaboration with the Sr Compliance Specialist, including interfacing with other FINRA departments, external vendors, the Federal Reserve, and the SEC as required.
• Track recurring and on-going compliance tasks
• Participate in on–going Reg SCI committees/meetings and act as a backup to the Sr Compliance Specialist on all compliance related matters.
• Responsible for following FINRA wide Reg Sci procedures for tracking events, as well as drafting and delivering SEC Notifications of SCI related issues and events in accordance with rule requirement and procedure.
• Participate in annual review and certification of Reg SCI procedures, ensuring Business Continuity procedures are updated.
• Conduct annual industry wide BCP testing, including functional testing
• Respond to all requests from Internal Audit for annual Reg SCI, FISMA and FEDRAMP audits, including providing evidence for all controls, documenting and tracking findings, and collaborating with their immediate manager to ensure all findings are addressed.
• Represent Transparency Services in annual SEC Reg Sci audit.
• Manage all continuous monitoring procedures for FISMA and FEDRAMP in collaboration with the Sr Compliance Analyst
• Provide guidance in all other audits conducted by Internal Audit, Finance and external parties as needed

Education/Experience Requirements:

• Bachelor’s degree, preferably in Management Information Systems.
• Minimum six (6) years of experience working on Brokerage applications with a focus on compliance, business analysis, project management and/or testing.
• Familiarity with rule making process, review of rules, and interaction with legal departments in translating rules into system requirements.
• Must have excellent verbal and written communication skills as well as experience communicating with technical and operations teams

Working Conditions:

• Hybrid Work Environment based in New York City, New Jersey or Rockville MD. 
• Some travel is required.

For work that is performed in CA, CO, IL, Jersey City, NJ, New York City, NY, MA, 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 $109,600, Maximum Salary $206,200

CO*: Minimum Salary $95,300, Maximum Salary $171,800

IL*: Minimum Salary $104,900, Maximum Salary $189,400

Jersey City, NJ/NYC, NY: Minimum Salary $114,300, Maximum Salary $206,200

MA: Minimum Salary $95,300, Maximum Salary $197,600

MD/Washington, DC: Minimum Salary $109,600 Maximum Salary $197,600

NJ State: Minimum Salary $104,900, Maximum $206,200

NY State: Minimum Salary $95,300, Maximum Salary $206,200

*Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

#LI-Hybrid

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsi