Lead Governance Analyst, Surveillance Innovation

FINRA; Los Angeles (CA); Hybrid; USD 97,000 - 127,000; Full time

Benefits offered by this job

Health, dental and vision insurance

401(k) with company match

Paid time off and holidays

Job summary

FINRA is seeking an Associate Principal Governance Analyst on the Surveillance Optimization and Innovation Team. The role manages governance for FINRA’s first-in-class surveillance program and collaborates with business and technology stakeholders as well as RSA clients through the operation of Knowledge Management Boards.

Under guidance, this role fosters the evolution of governance processes through dynamic approaches and technology enablement, supporting ongoing governance operations and

Qualifications

• Bachelor’s degree and a minimum of four (4) years of experience in the securities/financial services industry.
• FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent within 16 months of start date.
• Experience managing governance policies, procedures, and internal controls.
• Demonstrated project management, process improvement, and understanding of governance development lifecycle.
• Extensive knowledge of FINRA, MSRB and other SRO rules and the Securities Exchange Act of 1934.
• Excellent written and verbal communications skills.
• Strong organizational skills and attention to detail.

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 and business enablement.
• Represent FINRA in internal and external meetings.

Skills

Governance

Project management

Regulatory knowledge

Communication skills

Collaborative work

Attention to detail

Education

Bachelor's degree

Job description

FINRA is seeking an Associate Principal Governance Analyst on the Surveillance Optimization and Innovation Team. The role manages governance for FINRA’s first-in-class surveillance program and collaborates with business and technology stakeholders as well as RSA clients through the operation of Knowledge Management Boards.

Under guidance, this role fosters the evolution of governance processes through dynamic approaches and technology enablement, supporting ongoing governance operations and