Senior Market Operations Analyst, Transparency Services

The Market Operations Analyst II performs a variety of specific duties depending on the section to which assigned, generally including assisting in the day-to-day operational functions of the ADF market and monitoring member firms trade reporting and quoting activities.

This is basic-level professional work in which incumbents are performing their assigned roles, developing job-related skills, and working under limited supervision.

Essential Job Functions:

• Reviews and analyzes intra-day quote trade comparison, trading during a halt and locked/crossed markets alerts in FINRA National Market, FINRA Small Cap and exchange listed securities.
• Monitors intra-day trading and quoting activity in ITS issues for member firm compliance with established ITS rules and regulations.
• Recommends subsequent course of action to be taken.
• Maintains the relevant databases that support the operation of the marketplace.
• Responds to inquiries from member firms, SRO’s, other FINRA departments, and vendors.
• Provides excellent internal/external customer service.
• Contributes to the development and enhancement of section policies and procedures. Provides advice, guidance, and instruction to lower level Analysts.
• Confers with senior staff and subject matter experts for guidance on highly complex issues.
• Performs research, reading, and consultation in order to maintain substantial knowledge of the rules, regulations, and guidelines, which apply to the type of analysis being performed.

Education/Experience Requirements:

• Bachelor’s degree or the equivalent.

• A minimum of three (3) years of related industry experience in market regulation, market operations or a similar function.

• Substantial knowledge of relevant FINRA/SEC rules and regulations.

• Competence using a desktop computer with the full suite of office software applications.

• Proven ability to work under pressure.

• Attention to detail is essential.

Work Conditions:

• Work is normally performed on-line in an office environment.

• Occasional travel may be required.

• Extended hours may be required.

For work that is performed in CA, 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. 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 of $81,300, Maximum Salary $151,300

CO/FL/TX: Minimum Salary $70,600, Maximum Salary $126,000

IL*/PA: Minimum Salary $77,900, Maximum Salary $138,800

MA/MD/VA/Washington, DC: Minimum Salary $81,300, Maximum Salary $145,000

NY*/NJ: Minimum Salary $81,300, Maximum Salary $151,300

 

*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.

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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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Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of