Associate Principal Analyst, MS Operations, Procedures and Standards
$81.9k/y-$176k/y
a day ago
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HybridFull-timeMid
Summary
FINRA is seeking an Associate Principal Analyst, MS Operations, Procedures and Standards to join their team in New York, NY. The role involves developing, implementing, and maintaining operations, procedures, standards, and reporting within Member Supervision Operations.
About the Role
As an Associate Principal Analyst, you will work under moderate supervision to evaluate programs for improvement, resolve complex operational issues, and advance regulatory initiatives through strategic stakeholder partnerships. Your responsibilities will include developing departmental policies, conducting procedure assessments, establishing operational processes, managing regulatory change processes, facilitating communications, and coaching junior colleagues.
About You
Required:
- Bachelor’s degree in business or related field and a minimum of four (4) years of directly related securities experience.
- Knowledge of securities industry rules, regulations, and guidelines.
- Excellent written and verbal communication skills, including interpersonal and presentation skills.
- Strong organizational, time-management, problem-solving skills, and attention to detail.
Preferred:
- Demonstrated understanding of regulatory/policy requirements and their impact on processes and controls.
- Proficiency in Microsoft Windows-based software applications.
Benefits
- Comprehensive health, dental, and vision insurance.
- 401(k) plan with company match and additional FINRA-funded retirement contribution.
- Generous time-off program including 15 days of paid time off, 5 personal days, and 9 sick days.
- Tuition reimbursement and commuter benefits.
- Discretionary bonus eligibility.
FINRA
FINRA, the self-regulator of broker-dealers, protects investors, promotes capital formation and safeguards the markets – all at no cost to American taxpayers. Only the official, verified social media accounts for FINRA are authorized to represent FINRA’s views. Any opinions or statements expressed on other accounts do not reflect the views of the organization.
New York, NY