Senior Analyst, TS Market Operations

The Senior Analyst in Market Operations section of Transparency Services conducts reviews and analysis for Over-the-Counter equity securities to identify potential violations of applicable federal securities and FINRA rules and regulations, as well as ensuring market integrity and investor protection. This position is a professional individual contributor who works under close supervision in independent handling routine matters while collaborating with senior staff and management on complex issues.

Essential Job Functions:

• Applies regulatory expertise in evaluating requests supporting FINRA’s mission to maintain market integrity and investor protection.
• Reviews and analyzes documentation, financial statements and corporate filings to verify accuracy and identify inconsistencies or omissions.
• Evaluates submissions against applicable federal securities laws and FINRA rules to assess risk and recommend appropriate regulatory responses.
• Maintains accurate case management records, tracking milestones, deadlines, and follow-up actions to ensure timely resolution of cases. 
• Documents all case activities in accordance with departmental standards, including analytical approaches, stakeholder communications (internal and external), case steps, outcomes, and referral to Market Oversight or external agencies.
• Communicates case findings and analytical conclusions to management through clear, well-organized presentations and written reports that support informed decision-making. 
• Demonstrates a culture of intelligence, integrity, and initiative in day-to-day interactions with the team.
• Demonstrates FINRA’s values.
• Collaborates, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Other Responsibilities:

• Participates in development and testing of analytics tools, investigative methodologies, and process improvements that enhance the efficiency and effectiveness of corporate action reviews.
• Remains current on industry trends, practices and regulatory impacts.

Education/Experience Requirements:

• Bachelor’s degree and a minimum of three (3) years of experience in the securities/financial services industry; or an equivalent combination of education and related professional experience.
• Working knowledge of FINRA and other SRO rules as well as the Securities Exchange Act of 1934 and the rules and regulations thereunder.
• Ability to identify potential securities rule violations.
• Demonstrated experience reviewing and analyzing financial statements, corporate filings, and regulatory documentation.
• Analytical and critical thinking skills with attention to detail.
• Written and verbal communication skills, including ability to prepare clear, concise reports and presentations for senior management.
• Experience with case management systems and documentation practices.
• Understanding of risk assessment methodologies in a regulatory context.
• Organizational skills with ability to manage multiple cases, deadlines, and priorities simultaneously.

Working Conditions:

• Hybrid work environment, with hours with defined in-person requirements.
• Hours may extend beyond normal business hours.
• Travel will be required, as necessary.

For work that is performed in CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. 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 market considerations. 

 

CO/FL/TX: Minimum Salary $72,400, Maximum Salary $129,200

IL/PA: Minimum Salary $79,800, Maximum Salary $142,300

MA/MD/VA/Washington, DC: Minimum Salary $83,300, Maximum Salary $148,600

NY/NJ: Minimum Salary $83,300, Maximum Salary $155,100

#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, responsibilities and qualifications required.

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