Associate Principal Governance Analyst, Surveillance Optimization and Innovation

Financial Industry Regulatory Authority, Inc.; Rockville (MD); Hybrid; USD 97,000 - 173,000; Full time

Benefits offered by this job

Discretionary bonus

Health insurance

401(k) with company match

Paid time off

Job summary

FINRA is seeking an Associate Principal Governance Analyst within the Surveillance Optimization and Innovation Team to manage governance for FINRA’s surveillance program. You will work with business and technology stakeholders, RSA clients, and management to evolve governance through dynamic approaches and technology enablement.

The role requires 4+ years in securities, SIE certification within 16 months, and strong governance and regulatory knowledge.

Qualifications

• Bachelor’s degree and 4+ years in securities/financial services
• SIE certification due within 16 months of start date
• Experience managing governance policies and internal controls
• Strong project management and governance lifecycle understanding
• Extensive knowledge of FINRA, MSRB and SEC rules

Responsibilities

• Assist with day-to-day operations of the surveillance governance program
• Manage surveillance inventory and related reporting
• Identify opportunities to optimize the governance program
• Support technology initiatives related to surveillance development
• Represent FINRA in internal/external meetings
• Provide SME in regulatory areas to advance FINRA and industry initiatives
• Stay current on industry and technology trends
• Demonstrate FINRA values
• Collaborate across teams (in-person and virtual) to fulfill FINRA’s mission

Skills

Governance management

Regulatory knowledge

Project management

Stakeholder engagement

Communication skills

Analytical thinking

Education

Bachelor’s degree in securities/finance

SIE certification

Job description

The Associate 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 under the guidance of management to foster the evolution of the governance process through dynamic approaches and technology enablement.

Essential Job Functions

• Assist with 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.
• Assists with the identification of opportunities for the optimization of the governance program and implements impactful enhancements.
• Assists with technology initiatives related to surveillance development, maintenance, and business enablement.
• Represents FINRA in internal/external meetings.

Other Responsibilities

• Provides support to multi-level initiatives across Regulatory Operations and/or Surveillance
• Provides subject matter expertise in regulatory areas to advance FINRA and industry initiatives (e.g., CAT, Notice to Members, rule filings, market events, congressional testimony preparation)
• Remains current on industry and technology trends, practices, and regulatory impacts.
• Demonstration of 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 four (4) years of experience in the securities/financial services industry; or an equivalent combination of education and experience in positions of increasing responsibilities.
• FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent is required within 16 months of start date of the assigned SIE cohort.
• 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.

Work Conditions

Hybrid work environment, with defined in-person presence requirements. Hours which may extend beyond normal business hours. Travel will be required, as necessary. For work that is performed in CO, CT, IL, PA, MA, MD, VA, WA, DC, NY, NJ, WA please refer to the chart below for the salary range for the corresponding location.

Salary Ranges

• Los Angeles, CA: $96,600 - $127,000
• San Francisco, CA: $100,800 - $132,000
• Boston, MA: $96,600 - $172,800
• Chicago, IL: $92,400 - $165,300
• Denver, CO: $83,900 - $150,300
• Jericho, NY: $96,600 - $172,800
• Jersey City, NJ: $100,800 - $180,400
• Philadelphia, PA: $92,400 - $165,300
• New York, NY: $100,800 - $180,400
• Rockville, MD: $96,600 - $172,800
• Tysons, VA: $96,600 - $172,800
• Washington, DC: $96,600 - $172,800
• Woodbridge, NJ: $96,600 - $172,800
• Connecticut State: $83,900 - $180,400
• Washington State: $83,900 - $180,400

Benefits and Perks

• 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 its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance.
• Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal.
• FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and 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*
• FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program starting at 15 days of paid time off (increasing with years of service, up to 25 days), 5 personal days, and 9 sick days, unless otherwise required by law (all pro-rated in the first year).
• Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule).
• Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, 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.
• *Based on full-time schedule

EEO and Diversity Statement

FINRA is an Equal Opportunity Employer All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities. FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

Company Culture and About FINRA

Our Growth is Creating Great Opportunities! Our team is expanding, and we want to hire the most talented people we can. Continued success depends on it! Once you've had a chance to explore our current open positions, apply to the ones you feel suit you best and keep track of both your progress in the selection process, and new postings that might interest you! Thanks for your interest in working on our team!

FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers. FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage. In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets. FINRA operates from Washington, DC, and New York, NY, with other offices around the country. Find out more about us and how we work—and view our current openings—at www.finra.org/careers.