Attorney in Philadelphia, PA

Public Interest

Philadelphia, PA

Attorney in Philadelphia, PA

Non-practicing Attorney

Min 8 yrs required

No

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

- Full-time position in Member Supervision Operations, Procedures and Standards (MS OPS)
- Develop, implement, and maintain operations, procedures, standards, and reporting
- Continuously evaluate program for areas of improvement and resolve complex operational issues
- Partner with key stakeholders to support/lead regulatory initiatives
- Leads the establishment of centralized operational processes
- Implements and enhances new processes, controls, or procedures
- Maintains expert working knowledge of departmental functions and industry developments
- Lead and partner with key stakeholders in the regulatory change process
- Facilitate departmental wide meetings and train staff on programmatic changes
- Develop Policies & Procedures and serve as an Operational Advisor on large scale initiatives
- Proactively assess procedures and make recommendations for updates
- Cultivate strong working relationships across Member Supervision, throughout FINRA, and with other stakeholders
- Partner with external stakeholders and senior leaders across the enterprise to accomplish strategic objectives
- Develop and maintain content on Regulatory Operations systems and internal websites
- Lead the production and dissemination of reporting to key stakeholders
- Participate in the development and maintenance of operational metrics
- Lead special projects and ad hoc initiatives
- Lead training efforts for MS OPS
- Model inspirational, accountable, and supportive leadership
- Make recommendations to the Head and/or Deputy Head of Member Supervision OPS
- Demonstrate FINRA’s values
- Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity

Education/Experience Requirements:

- Bachelor's Degree and a minimum of eight (8) years of experience
- 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)

Knowledge Requirements:

- Expert working knowledge of securities industry rules, regulations and related guidelines
- Proficiency of Microsoft Office suite of applications

Skills Requirements:

- Excellent interpersonal, negotiation, and diplomacy skills
- Establish and maintain effective working relationships at all levels inside and outside the organization
- Excellent leadership skills
- Excellent written and verbal communication skills
- Must be self-starter and able to administer a number of complex assignments concurrently
- Work independently, possess strong project management and organizational skills

Working Conditions:

- Hybrid work environment, with defined in-person presence requirements
- Extended hours as needed

Salary Information:

Location Minimum Salary Maximum Salary

CA $128,000 $242,600
CO/HI/MN/VT* $111,400 $202,100
IL* $122,800 $222,400
Jersey City, NJ/NYC, NY $133,700 $242,600
MA/WA $111,400 $232,500
MD/Washington, DC $128,000 $232,500
NJ State $122,800 $242,600
NY State $111,400 $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 **MEMBERS ONLY**SIGN UP NOW***.

#LI-Hybrid

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

Job Requisition ID: R-009247

Requirements:

- Bachelor's Degree and a minimum of eight (8) years of experience, or an equivalent combination of education and relevant 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)
- Expert working knowledge of securities industry rules, regulations and related guidelines
- Proficiency of Microsoft Office suite of applications
- Excellent interpersonal, negotiation, and diplomacy skills
- Excellent written and verbal communication skills
- Must be self-starter and able to administer a number of complex assignments concurrently
- Work independently, possess strong project management and organizational skills

Responsibilities:

- Develop, implement, and maintain operations, procedures, standards, and reporting
- Continuously evaluate program for areas of improvement and resolve complex operational issues
- Partner with key stakeholders to support/lead regulatory initiatives
- Leads the establishment of centralized operational processes
- Implements and enhances new processes, controls, or procedures
- Maintains expert working knowledge of departmental functions and industry developments
- Lead and partner with key stakeholders in the regulatory change process
- Facilitate departmental wide meetings and train staff on programmatic changes
- Develop Policies & Procedures and serve as an Operational Advisor on large scale initiatives
- Proactively assess procedures and make recommendations for updates
- Cultivate strong working relationships across Member Supervision, throughout FINRA, and with other stakeholders
- Partner with external stakeholders and senior leaders across the enterprise to accomplish strategic objectives
- Develop and maintain content on Regulatory Operations systems and internal websites
- Lead the production and dissemination of reporting to key stakeholders
- Participate in the development and maintenance of operational metrics
- Lead special projects and ad hoc initiatives
- Lead training efforts for MS OPS
- Model inspirational, accountable, and supportive leadership
- Make recommendations to the Head and/or Deputy Head of Member Supervision OPS
- Demonstrate FINRA’s values
- Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity

Working Conditions:

- Hybrid work environment, with defined in-person presence requirements
- Extended hours as needed

Salary Information:

Location Minimum Salary Maximum Salary

CA $128,000