Senior Analyst, TS Market Operations - Extended Hours

Summary

Senior Analyst in 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. Will be responsible for extended hours support of FINRA trading systems: 8:00pm - 4:00am EST.

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.

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: $83,300 - $148,600

Chicago, IL: $79,800 - $142,300

Denver, CO: $72,400 - $129,200

Jericho, NY: $83,300 - $148,600

Jersey City, NJ: $86,800 - $155,100

Philadelphia, PA: $79,800 - $142,300

New York, NY: $86,800 - $155,100

Rockville, MD: $83,300 - $148,600

Tysons, VA: $83,300 - $148,600

Washington, DC: $83,300 - $148,600

Woodbridge, NJ: $83,300 - $148,600

Connecticut State: $72,400 - $155,100

Washington State: $72,400 - $155,100

Job Description

Senior Analyst in 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. Will be responsible for extended hours support of FINRA trading systems: 8:00pm - 4:00am EST.

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.

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: $83,300 - $148,600

Chicago, IL: $79,800 - $142,300

Denver, CO: $72,400 - $129,200

Jericho, NY: $83,300 - $148,600

Jersey City, NJ: $86,800 - $155,100

Philadelphia, PA: $79,800 - $142,300

New York, NY: $86,800 - $155,100

Rockville, MD: $83,300 - $148,600

Tysons, VA: $83,300 - $148,600

Washington, DC: $83,300 - $148,600

Woodbridge, NJ: $83,300 - $148,600

Connecticut State: $72,400 - $155,100

Washington State: $72,400 - $155,100