Senior Analyst, TS Market Operations

Senior Analyst, TS Market Operations

The Senior Analyst in Market Operations section of Transparency Services supports the operation and monitoring of FINRA’s trade reporting facilities including communications with member firms, vendors, exchanges, regulatory organizations and other FINRA departments.

This position is a professional individual contributor who works under direct supervision, exercising independent judgment on routine matters while collaborating with senior staff and management on complex issues.

The position requires core hours coverage in support of FINRA trading systems, with scheduled 8 hour shifts falling within the 8:00 AM – 8:00 PM EST window.

Essential Job Functions:

• Monitors intra-day trading across FINRA trade reporting facilities through system-generated alerts and phone and email inquiries independently resolving routine matters and conferring with senior staff and subject matter experts for guidance on complex or novel issues.
• Delivers strong customer service by responding to inquiries from member firms, SROs, other FINRA departments, and vendors. Maintains relevant databases that support the operation of the marketplace.
• Maintains accurate and thorough documentation of all alert review activities.
• Presents matters to senior leadership through clear, well-organized written summaries that support informed decision-making and ensure timely resolution of reviews.
• May assist junior analysts on routine operational matters and day-to-day workflows as needed.
• Applies regulatory knowledge in evaluating requests supporting FINRA's mission to maintain market integrity and investor protection.
• Demonstrates FINRA's values.
• Collaborates, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity.

Other Responsibilities:

• Contributes to the development and enhancement of section policies and procedures.

• Participates in the development and testing of analytics tools and operational methodologies that improve the efficiency and effectiveness of the team’s processes.

• Remains current on industry trends, practices and regulatory impacts.

Education/Experience Requirements:

• Bachelor's degree, preferably in Finance, Economics, or Business, and a minimum of three (3) years of experience in the securities/financial services industry, or financial markets operations or regulatory environment; or an equivalent combination of education and related professional experience.
• Working knowledge of FINRA and other SRO rules as well as the Securities Exchange Act of 1934 and the rules and regulations thereunder.
• Ability to identify potential securities rule violations.
• Analytical and critical thinking skills with attention to detail.
• Ability to work independently.
• Written and verbal communication skills, including ability to prepare clear, concise reports and presentations for leadership.
• Organizational skills with ability to manage multiple tasks, deadlines, and priorities simultaneously.
• Experience with financial systems and databases preferred.

Working Conditions:

• Hybrid work environment, with hours with defined in-person requirements.
• Hours may extend beyond normal business hours.

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. 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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