Associate Principal Analyst, MS Operations, Procedures and Standards

As an established individual contributor in Member Supervision Operations, Procedures and Standards (MS OPS), you'll work under moderate supervision to develop, implement, and maintain operations, procedures, standards, and reporting. You'll evaluate programs for improvement, resolve complex operational issues, and advance regulatory initiatives through strategic stakeholder partnerships.

Essential Job Functions:

• Develop and implement departmental policies, procedures, and guidance with limited supervision
• Conduct periodic procedure assessments to identify necessary updates
• Establish centralized operational processes to enhance efficiency, reduce duplication, and ensure robust controls
• Create and enhance processes, controls, and procedures
• Maintain intermediate knowledge of departmental functions and industry developments
• Manage regulatory change processes and impact assessments for business units
• Facilitate department-wide communications and staff training on programmatic changes
• Build relationships across Member Supervision, FINRA, and with external stakeholders including SEC, state agencies, and industry partners
• Support senior staff with strategic objectives and issue remediation
• Develop and maintain content for Regulatory Operations systems and internal websites
• Produce and distribute reports to key stakeholders with minimal supervision
• Develop operational metrics providing insights on key performance and risk indicators
• Lead special projects and ad hoc initiatives, including internal and external requests
• Coach junior colleagues on techniques, processes, and responsibilities

Education/Experience Requirements:

• Bachelor’s degree in business or related field and a minimum of four (4) years of directly related securities experience, or an equivalent combination of education and experience.
• Knowledge of securities industry rules, regulations and guidelines required.
• Demonstrated understanding of regulatory/policy requirements, the impact on process and controls, and ability to succinctly document all elements.
• Exemplifies research/analytical skills.
• Excellent written and verbal communication skills, including interpersonal skills and presentation skills.
• Strong organizational, time-management, problem solving, and organizational skills are highly desired. Attention to detail is essential.
• Proficiency in Microsoft Windows-based software applications

Working Conditions:

• Work is normally performed in an office environment at FINRA.

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 $94,200, Maximum Salary $176,000

CO*: Minimum Salary $81,900, Maximum Salary $146,600

IL*: Minimum Salary $90,100, Maximum Salary $161,300
Jersey City, NJ/NYC, NY: Minimum Salary $98,300, Maximum Salary $176,000

MA: Minimum Salary $81,900, Maximum Salary $168,600

MD/Washington, DC: Minimum Salary $94,200, Maximum Salary $168,600
NJ State: Minimum Salary $90,100, Maximum $176,000

NY State: Minimum Salary $81,900, Maximum Salary $176,000

*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.

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, responsibilities and qualifications required.

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