Associate Principal Governance Analyst, Surveillance Optimization and Innovation

FINRA; Rockville (MD); Hybrid; USD 97,000 - 173,000; Full time

Benefits offered by this job

Health insurance

401(k) with match

Tuition reimbursement

Commuter benefits

Wellness programs

Job summary

FINRA, based in Rockville, MD, seeks an Associate Principal Governance Analyst to manage the governance of its surveillance program and work with business, technology stakeholders and RSA clients through Knowledge Management Boards.

Under guidance, you will evolve governance processes with dynamic approaches and technology enablement, support day-to-day operations, and help report on surveillance inventory and improvements.

Qualifications

• Bachelor’s degree and a minimum of four years in securities/financial services.
• FINRA SIE certification within 16 months of start date.
• Experience managing governance policies, procedures, or internal controls.

Responsibilities

• Assist with day-to-day operations of the surveillance governance program including Knowledge Management Boards.
• Maintain surveillance inventory and related reporting.
• Identify opportunities to optimize the governance program and implement enhancements.
• Support technology initiatives related to surveillance development, maintenance, and business enablement.
• Represent FINRA in internal/external meetings.

Skills

Governance

Project management

Communication skills

Stakeholder collaboration

Education

Bachelor’s degree

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. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. 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 market considerations.

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

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

• Based on full-time schedule

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

You can read more about these restrictions here.

As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

Washington state applicants: click here for required notice(s).

Search Firm Representatives

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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.

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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.

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