Senior System Analyst

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

Job summary

FINRA CAT is seeking a Senior Principal Analyst to lead strategic initiatives and project delivery for the Consolidated Audit Trail. You will define milestones, gather requirements with Plan Participants and Industry Members, and mentor analysts while delivering industry-facing solutions.

The role operates as a seasoned individual contributor with substantial autonomy, partnering with senior leaders and regulators to translate regulatory rules into actionable delivers within tight timelines.

Qualifications

• Bachelor's degree in securities/finance or related field.
• Nine years of experience in the securities/financial services industry.
• Advanced knowledge of securities markets, SRO rules, and regulatory reporting.
• Strong written and verbal communication with ability to explain complex issues.
• Experience writing queries against relational databases (SQL).
• Excellent interpersonal skills and stakeholder management.
• Ability to lead requirements mapping, documentation, and cross-functional collaboration.

Responsibilities

• Leads end-to-end requirements lifecycle from discovery to UAT and delivery.
• Provides SME guidance to regulators, Plan Participants, Industry Members, and senior leaders.
• Mentors junior analysts and delivers industry-facing solutions.
• Interacts with internal/external stakeholders regarding CAT regulatory issues.
• Partners with senior management to identify and resolve resource and data issues.

Skills

Stakeholder communication

Requirements gathering

Data analysis with SQL

Regulatory knowledge

Written communication

Interpersonal skills

Education

Bachelor's degree

Advanced degree desirable

Tools

SQL

FIX/messaging protocols

Regulatory reporting systems

Job description

The Senior Principal Analyst of CAT Business Operations leads strategic initiatives and project delivery for the Consolidated Audit Trail (CAT), a critical regulatory program that ensures market transparency and investor protection. This role defines project milestones, leads requirement gathering with Plan Participants and Industry Members, and serves as a subject matter expert who mentors analysts and delivers industry-facing solutions. This position is a seasoned individual contributor who works independently with minimal oversight.

Job Description

Essential Job Functions:

• Provides excellent internal/external customer service in specialized area of regulatory responsibility, namely the Consolidated Audit Trail.
• Regularly interfaces with and provides subject matter expertise to internal and external stakeholders, including Industry Advisory Committee, SEC personnel, and senior leaders regarding potential business and technical solutions related to the CAT.
• Responds to complex regulatory compliance inquiries and technical problems from internal and external customers by using expertise on SEC Rule 613, the CAT NMS Plan rules and related technical specifications.
• Reviews and delivers written guidance and training programs regarding potential business and technical issues related to the CAT.
• Leads end-to-end requirements lifecycle from stakeholder discovery sessions through business requirements development, UAT design, and execution, while bridging business and technology perspectives to translate strategic visions into actionable deliverables.
• Serves as a subject matter expert on SEC Rule 613, the CAT NMS Plan rules and related technical specifications, for the team.
• Leads quantitative research to support decision-making related to CAT reporting guidelines.
• Partners with Senior Management to identify and resolve complex issues including resource constraints, data errors, and unexpected scenarios, delivering critical recommendations and solutions within strict deadlines.
• Identifies, tracks, and escalates customer service issues and trends to senior management, providing actionable feedback and recommendations on application and system performance and availability.
• Mentors and coaches 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.

Education/Experience Requirements:

• Bachelor's degree and a minimum of nine (9) years of experience in the securities/financial services industry; or an equivalent combination of education and experience in positions of increasing responsibilities.
• Advanced degree is desirable.
• Significant experience with business process mapping, requirements gathering, and authoring of technical documentation.
• Advanced knowledge of securities markets including member firm operations, FIX/messaging protocols, and regulatory reporting. Familiarity with SRO rules and the Securities Exchange Act of 1934 preferred.
• Excellent written and verbal communication skills, including the ability to prepare clear, concise reports and presentations, with a demonstrated ability to explain complicated information to a wide audience.
• Excellent interpersonal skills, with the ability to provide exceptional customer service, anticipate customer needs, and build/maintain relationships with key partners.
• A minimum of five (5) years of experience writing queries against relational databases and performing data analysis.
• Strong organizational skills with exceptional attention to detail and an ability to prioritize and manage multiple complex projects in a fast-paced environment.

Working Conditions:

• Hybrid work environment, with defined in-person presence requirements.
• Extended hours may be required.

For work that is performed in CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, 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.

CO/FL/TX: Minimum Salary $114,200, Maximum Salary $207,200

IL/PA: Minimum Salary $125,900, Maximum Salary $228,000

MA/MD/VA/Washington, DC: Minimum Salary $131,200, Maximum Salary $238,300

NY/NJ: Minimum Salary $131,200, Maximum Salary $248,700