Senior Principal Governance Analyst, Surveillance Optimization and Innovation

This Senior Principal Governance Analyst role on the Surveillance Optimization and Innovation Team is responsible for managing the governance of FINRA’s first in class surveillance program. This role is responsible for working closely with business and technology stakeholders as well as Regulatory Service Agreement (RSA) clients through the operation of FINRA’s Knowledge Management Boards. This role also works with management to foster the evolution of the governance process through dynamic approaches and technology enablement. Mentors other staff and guides them in the completion of their responsibilities.

Essential Job Functions:

• Independently leads the day-to-day operations of the Surveillance governance program including FINRA’s Knowledge Management Boards accountable for executive business control of the surveillance program.
• Responsible for the surveillance inventory and related reporting.
• Facilitates routine and ad hoc risk assessments as well as a risk-based surveillance review process. 
• Proactively identifies opportunities for the optimization of the governance program and implements impactful enhancements.
• Assists with technology initiatives related to surveillance development, maintenance, and business enablement.
• Promotes a culture of continuous innovation and creativity within the Surveillance team, inspiring and empowering team members to generate ideas and solutions.
• Represents FINRA in internal/external meetings.
• Demonstrates FINRA’s values of Responsibility, Innovation, Collaboration and Expertise in interactions with colleagues, management, FINRA members, and outside parties.

 Other Responsibilities:

• Assists with multi-level initiatives across Regulatory Operations and/or Surveillance
• Remains current on industry and technology trends, practices, and regulatory impacts

 Education/Experience Requirements:

• Bachelor’s degree and a minimum of eight (8) years of experience in the securities/financial services industry; or an equivalent combination of education and experience in positions of increasing responsibilities.
• Experience managing and developing governance policies, procedures, and/or internal controls required.
• Demonstrated project management, process improvement, understanding of surveillance development lifecycle and goal attainment skills.
• Extensive working knowledge of FINRA, MSRB and other SRO rules and the Securities Exchange Act of 1934 and the rules and regulations thereunder.
• Requires excellent written and verbal communications skills, including interpersonal and presentation skills.
• Strong organizational skills and excellent detail orientation.

Working Conditions:

• Hybrid work environment (remote/office) with hours which may extend beyond normal business hours.
• Travel will be required, as necessary.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, 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 $128,000, Maximum Salary $242,600

CO/HI/MN/VT*: Minimum Salary $111,400, Maximum Salary $202,100

IL*: Minimum Salary $122,800, Maximum Salary $222,400
Jersey City, NJ/NYC, NY: Minimum Salary $133,700, Maximum Salary $242,600

MA/WA: Minimum Salary $111,400, Maximum Salary $232,500

MD/Washington, DC: Minimum Salary $128,000, Maximum Salary $232,500

NJ State: Minimum Salary $122,800, Maximum $242,600

NY State: Minimum Salary $111,400, Maximum Salary $242,600

*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, responsibilities and qualifications required.

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