Attorney in Boston, MA

Public Interest

Boston, MA

Attorney in Boston, MA

Non-practicing Attorney

No

SEO Friendly Job Title: Principal Analyst - MS Operations, Procedures and Standards
H1: Join FINRA as a Principal Analyst in MS Operations, Procedures and Standards
H2: Experienced Individual Contributor in Member Supervision Operations

Bold Headlines:
- Experienced Individual Contributor in Member Supervision Operations
- Lead Regulatory Initiatives and Partner with Key Stakeholders
- Evaluate and Improve Program for Complex Operational Issues
- Focus on Review of Subordinated Loans and Secured Demand Notes
- Cultivate Strong Working Relationships Across Member Supervision and the Industry
- Develop and Empower Talent at All Levels
- Competitive Salary and Benefits Package Offered

Bullet Points:
- Full-time position at FINRA, the Financial Industry Regulatory Authority
- Experienced individual contributor in Member Supervision Operations, Procedures and Standards (MS OPS)
- Works independently with minimal supervision to identify, assess, develop, implement, and maintain operations, procedures, standards, and reporting
- Lead regulatory initiatives and partner with key stakeholders to enhance and/or develop new processes, controls, or procedures
- Knowledge of securities industry rules, regulations and guidelines required, specifically SEA Rule 15c3-1
- Focus on review of subordinated loans and secured demand notes, including FOCUS reconciliation analyses and knowledge of Appendix D of the Net Capital Rule
- Cultivate strong working relationships across Member Supervision, throughout FINRA, and with other stakeholders
- Bachelor's Degree or equivalent combination of education and experience required, major in Accounting, Finance, Economics, Business Administration, graduate degree (MBA or JD) and/or relevant industry certification(s) a plus
- Demonstrated leadership skills within accounting, audit, legal, compliance or related field(s)
- Excellent interpersonal, negotiation, and diplomacy skills, with a high comfort level in relations with FINRA senior management teams
- Proficiency in Microsoft Office suite of applications
- Must be a self-starter and able to administer a number of complex assignments concurrently
- Competitive salary and benefits package offered, including full pay ranges for growth potential

Salary Information:
- CA: Minimum Salary $109,600, Maximum Salary $206,200
- CO/HI/MN/VT*: 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/WA: 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.

Job Requisition ID: R-009197

Experience Information:
- Bachelor's Degree or equivalent combination of education and experience required
- Major in Accounting, Finance, Economics, Business Administration, graduate degree (MBA or JD) and/or relevant industry certification(s) a plus
- Demonstrated leadership skills within accounting, audit, legal, compliance or related field(s)
- Experience with securities industry rules, regulations and guidelines, specifically SEA Rule 15c3-1
- Proficiency in Microsoft Office suite of applications
- Strong project management and organizational skills
- Ability to work independently and administer complex assignments concurrently

Organization: FINRA (Financial Industry Regulatory Authority)
Department: Member Supervision Operations, Procedures and Standards (MS OPS)

Locations:
- New York, NY
- Jersey City, NJ
- Jericho, NY
- Denver, CO
- Dallas, TX
- Boston, MA
- Boca Raton, FL
- Woodbridge, NJ
- Washington, DC
- Chicago (North Wacker Drive)
- San Francisco, CA
- Rockville, MD
- Philadelphia, PA
- Los Angeles, CA

Time Type: Full-time
Posted On: Posted Today

Job Summary:
Join FINRA as a Principal Analyst in MS Operations, Procedures and Standards, an experienced individual contributor who works independently to identify, assess, develop, implement, and maintain operations, procedures, standards, and reporting. This role will lead regulatory initiatives, partner with key stakeholders, evaluate and improve the program, and resolve complex operational issues. The focus will be on reviewing subordinated loans and secured demand notes, including FOCUS reconciliation analyses and knowledge of Appendix D of the Net Capital Rule.

Essential Job Functions:
- Participate and/or lead the regulatory change process for a subset of business units
- Partner with key stakeholders to enhance and/or develop new processes, controls, or procedures
- Knowledge of securities industry rules, regulations and guidelines required
- Partner with external stakeholders and senior leaders to accomplish strategic objectives
- Establish centralized operational processes to increase efficiency, minimize duplication, and ensure sufficient controls
- Assist with the development and implementation of departmental specific policies, procedures, and guidance
- Maintain advanced working knowledge of departmental functions and industry developments
- Facilitate departmental wide meetings to communicate updates and train staff on programmatic changes
- Participate and/or lead applicable Governance Committees
- Cultivate strong working relationships across Member Supervision, throughout FINRA, and with other stakeholders
- Develop and maintain content on Regulatory Operations systems and internal websites
- Independently produce and disseminate reporting to key stakeholders
- Actively participate in the development and maintenance of operational metrics
- Lead special projects and ad hoc initiatives
- Coach more junior colleagues in techniques, processes, and responsibilities
- Model inspirational, accountable, and supportive leadership, develop and empower talent at all levels, foster a diverse and inclusive culture, and create an environment of strong employee engagement

Education/Experience Requirements:
- Bachelor's Degree or an equivalent combination of