Governance & Surveillance Strategy Lead

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

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.