Senior CAT Operations Strategist

FINRA; Rockville (MD); Hybrid; USD 131,000 - 238,000; Full time

Job summary

FINRA in Rockville, MD seeks a Senior Principal Analyst of CAT Business Operations to lead strategic initiatives and end-to-end project delivery for the Consolidated Audit Trail, a cornerstone program for market transparency.

The role is a seasoned individual contributor who mentors analysts, gathers requirements with Plan Participants and Industry Members, and partners with senior leaders to translate strategy into actionable deliverables while maintaining regulatory rigor.

Qualifications

• Bachelor's degree and nine years in securities/financial services; or equivalent experience.
• Advanced degree desirable.
• Experience with business process mapping and requirements documentation.
• Knowledge of securities markets, FIX protocols, and regulatory reporting.
• Excellent written and verbal communication; able to explain complex topics.

Responsibilities

• Leads end-to-end requirements lifecycle from discovery through BRD, UAT design and execution.
• Interfaces with Industry Members, Plan Participants, and SEC personnel on solutions.
• Mentors junior analysts and delivers industry-facing solutions.
• Provides guidance on CAT regulatory issues and technical specifications.
• Identifies, tracks, and escalates issues; partners with senior management on decisions.
• Demonstrates FINRA values and collaborates across teams.

Skills

Stakeholder management

Regulatory knowledge

Mentoring

Requirements gathering

SQL queries

Data analysis

Project leadership

Documentation

Education

Bachelor's degree

Advanced degree desirable

Tools

SQL

Regulatory reporting systems

Job description

FINRA in Rockville, MD seeks a Senior Principal Analyst of CAT Business Operations to lead strategic initiatives and end-to-end project delivery for the Consolidated Audit Trail, a cornerstone program for market transparency.

The role is a seasoned individual contributor who mentors analysts, gathers requirements with Plan Participants and Industry Members, and partners with senior leaders to translate strategy into actionable deliverables while maintaining regulatory rigor.