Principal Analyst, Transparency Services Equities - Extended Hours

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

Job summary

FINRA is seeking a Principal Analyst in Transparency Services Equities to monitor real-time trade report and data dissemination issues, coordinating multiple teams and external parties to respond to emergencies and events.

The role analyzes trade data to inform senior leadership and ensure SEC compliance, operating as an experienced individual contributor with independent work style and extended hours support.

Qualifications

• Bachelor's degree in finance, analytics, or related field required.
• 7+ years of experience in finance, compliance, or related area expected.
• Knowledge of U.S. broker-dealers and financial regulation preferred.
• Experience with data analysis and executive-level reporting.
• Strong communication and project coordination skills.

Responsibilities

• Monitor real-time trade report and data dissemination issues for regulatory compliance.
• Coordinate FINRA internal teams and external parties to respond to emergencies and events.
• Analyze trade data to inform senior leadership and meet SEC requirements.
• Design data collection methods and develop KPIs to measure performance.
• Provide guidance to junior colleagues and align with FINRA values.

Skills

Financial analysis

Data analytics

Regulatory knowledge

Stakeholder communications

Leadership

Education

Bachelor's Degree in Finance/Analytics/Related field

Tools

SQL

Tableau

Excel

Python

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.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

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.

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.

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 - $202,500.00

Washington, DC: $112,300.00 - $202,500.00

Woodbridge, NJ: $112,300.00 - $202,500.00

Connecticut State: $97,700.00 - $211,400.00

Washington State: $97,700.00 - $211,400.00

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

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

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 strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s Employee Relations team at 240-386-4865 or by email at [e-mail]. Please note that this process is exclusively for inquiries regarding accommodations in the application process.

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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