Attorney in Woodbridge, NJ

Public Interest

Woodbridge, NJ

Attorney in Woodbridge, NJ

Non-practicing Attorney

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Principal Analyst, MS Operations, Procedures and Standards - All FINRA Locations

Job Title: Principal Analyst, MS Operations, Procedures and Standards
Department: Member Supervision Operations, Procedures and Standards (MS OPS)
Organization: FINRA
Locations: All FINRA Locations (see list below)
Time Type: Full Time
Posted On: Posted Today
Job Requisition ID: R-009197

Job Summary:

The Principal Analyst, MS Operations, Procedures and Standards will be responsible for identifying, assessing, developing, implementing, and maintaining operations, procedures, standards, and reporting in the Member Supervision department. This role will lead regulatory initiatives, partner with key stakeholders, evaluate the program for areas of improvement, and resolve complex operational issues. The focus of this role will be on the review of subordinated loans and secured demand notes, including FOCUS reconciliation analyses and knowledge of Appendix D of the Net Capital Rule.

Key Responsibilities:

- 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
- Possess strong working knowledge of securities industry rules, regulations, and guidelines, specifically SEA Rule 15c3-1
- Partner with external stakeholders and senior leaders to accomplish strategic objectives and remediate issues
- Establish centralized operational processes to increase efficiency, minimize duplication, and ensure sufficient controls are in place
- Assist with the development and implementation of departmental policies, procedures, and guidance
- Maintain advanced working knowledge of departmental functions and industry developments
- Facilitate departmental meetings and train staff on programmatic changes
- Participate and/or lead applicable Governance Committees
- Foster strong relationships with Member Supervision, FINRA, and 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
- Demonstrate inspirational, accountable, and supportive leadership and foster a diverse and inclusive culture

Education/Experience Requirements:

- Bachelor's Degree or equivalent combination of education and experience
- Major in Accounting, Finance, Economics, Business Administration, graduate degree (MBA or JD), and/or relevant industry certifications preferred
- Demonstrated leadership skills within accounting, audit, legal, compliance, or related field(s)

Knowledge Requirements:

- Strong/expert working knowledge of securities industry rules, regulations, and related guidelines
- Proficiency in Microsoft Office applications

Skills Requirements:

- Excellent interpersonal, negotiation, and diplomacy skills
- Ability to establish and maintain effective working relationships
- Excellent leadership skills, including the ability to make decisions, encourage change, and deal with problem situations
- Excellent written and verbal communication skills
- Self-starter with strong project management and organizational skills

Salary Information:

- For work 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, the salary range is as follows (actual compensation based on various factors):
- 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.

- 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 candidates can consider their growth potential while at **MEMBERS ONLY**SIGN UP NOW***.

Benefits:

- Immediate participation and vesting in a 401(k) plan with company match
- Eligibility for participation in an additional FINRA-funded retirement contribution
- Comprehensive health, dental, and vision insurance
- Basic life, accidental death and dismemberment, supplemental life, and spouse/domestic partner and dependent life insurance
- Short- and long-term disability insurance
- Long-term care insurance
- Business travel accident insurance
- Disability and legal insurance
- Tuition reimbursement
- Commuter benefits
- Other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs

Time Off and Paid Leave:

- 15 days of paid time off, 5 personal days, and 9 sick days (all pro-rated in the first year)
- 2 volunteer service days (based on full-time schedule)
- Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave (available after 90 days of employment), and childbirth and parental leave (available after 90 days of employment)
- Full-time employees receive nine paid holidays.

Important Information:

- FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures related to our role as a securities regulator.
- Employees must disclose all brokerage accounts and authorize their broker-dealers to provide FINRA with duplicate statements.
- Employees may only maintain securities accounts at firms that provide an e-feed of data to **MEMBERS ONLY**SIGN UP NOW***.
- FINRA abides by the requirements of 41 CFR ) and 41