Principal Analyst, Transparency Services Equities - Extended Hours

FINRA; Rockville (MD); Hybrid; USD 112,000 - 203,000; Full time

Job summary

FINRA in Rockville, MD is seeking a Principal Analyst in Transparency Services Equities to monitor real-time trade reports and data dissemination issues, coordinating across FINRA Market Operations and external parties. You will analyze trade data, advise senior leadership to meet SEC requirements, and work extended hours as needed.

This senior individual contributor role requires seven years in finance or compliance, strong regulatory knowledge, and demonstrated executive reporting experience.

Qualifications

• Bachelor’s Degree and a minimum of seven (7) years of experience in finance, compliance, or a related field.
• Knowledge of, and experience with, the regulation and operation of U.S. broker-dealers, and familiarity with financial regulation landscape.
• Advanced proficiency in financial services data analysis, leveraging internal and third‑party data sources for strategic insights.
• Proven track record of developing executive‑level reporting that translates metrics into actionable intelligence.
• Superior organization and time management with the ability to manage multiple projects under tight deadlines.
• Exceptional verbal and written communication skills to work with all levels to resolve issues.
• Ability to operate autonomously in dynamic, unstructured environments with strategic problem‑solving and risk-informed decisions.

Responsibilities

• Monitors trade reporting integrity for regulatory compliance.
• Facilitates compliance with Transparency Services Reg SCI requirements.
• Conducts complex data analysis to identify trends and inform business decisions.
• Designs and implements data collection methods to advance analytics processes.
• Determines KPIs and develops methods to measure and track them.
• Coaches more junior colleagues in techniques and responsibilities.
• Leads multi-level initiatives across the organization.
• Provides subject matter expertise in regulatory areas to advance FINRA initiatives.
• Remains current on industry trends, practices, and regulatory impacts.

Skills

Data analysis

Executive reporting

Regulatory knowledge

Communication skills

Autonomy

Project coordination

Education

Bachelor’s Degree in Finance/related field

Job description

The Principal Analyst in Transparency Services Equities is responsible for monitoring and responding to real-time trade report and data dissemination issues. This role coordinates multiple internal teams (e.g., FINRA Market Operations, FINRA Client & System Management, etc.) and external parties (e.g., TRF Business Members, SEC staff, firms, etc.) to respond to emergencies and events.

This role analyzes trade data and trading events to make recommendations to senior leadership to meet SEC requirements. This position is an experienced individual contributor in Business Analytics, who works independently with minimal supervision.

Will be responsible for extended hours support of FINRA trading systems.

Essential Job Functions

• Monitors trade reporting integrity for regulatory compliance.
• Facilitates compliance with Transparency Services Reg SCI requirements.
• Conducts complex data analysis to identify trends, patterns, and insights that can be used to inform business decisions.
• Designs and implements data collection methods and tools to advance optimal business analytics processes.
• Determines key performance indicators and develops methods to effectively measure and track them on a regular basis.
• Coaches more junior colleagues in techniques, processes, and responsibilities.
• Demonstrates FINRA’s values.
• Collaborates, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Other Responsibilities

• Leads multi-level initiatives across the organization.
• Provides subject matter expertise in regulatory area to advance FINRA and industry initiatives (e.g., LULD Plan, rule filings, market events, congressional testimony preparation, etc.).
• Remains current on industry trends, practices, and regulatory impacts.

Education & Experience Requirements

• Bachelor’s Degree and a minimum of seven (7) years of experience in finance, compliance, or a related field.
• Knowledge of, and experience with, the regulation and operation of U.S. broker‑dealers, as well as familiarity with the broader landscape of financial regulation. Experience with securities market structure issues, associated data, regulations and/or market surveillance business processes is required.
• Demonstrates advanced proficiency in financial services data analysis, with expertise in leveraging both internal and third‑party vendor data sources to drive strategic insights.
• Proven track record of developing sophisticated executive‑level reporting that translates complex metrics and data analytics into clear, actionable strategic intelligence.
• Superior organization and time management skills with proven ability to prioritize and execute against multiple projects simultaneously under tight deadlines, while maintaining outstanding attention to detail and customer service.
• Exceptional verbal and written communication skills to work with all levels directly to resolve issues.
• Exceptional ability to operate autonomously in dynamic, unstructured environments, consistently demonstrating strategic problem‑solving, risk‑informed decision‑making, and proactive program innovation.

Working Conditions

• Hybrid work environment, with defined in‑person presence requirements.
• Extended hours may be required.
• Travel will be required, as necessary.

Salary Ranges by Location

• Boston, MA: $112,300.00 - $202,500.00
• Chicago, IL: $107,500.00 - $194,100.00
• Denver, CO: $97,700.00- $176,100.00
• Jericho, NY: $112,300.00 - $202,500.00
• Jersey City, NJ: $117,200.00 - $211,400.00
• Philadelphia, PA: $107,500.00 - $194,100.00
• New York, NY: $117,200.00 - $211,400.00
• Rockville, MD: $112,300.00 - $202,500.00
• Tysons, VA: $112,300.00