Senior Principal Analyst, MRTS Information Management

The Senior Principal Analyst in Information Management is responsible for the execution of Market Regulation and Transparency Services’ (MRTS) ongoing information management, records management, and entitlements management programs and operations. Given the sensitive datasets controlled by MRTS, this role requires considerable judgement and attention to established safeguards and processes. This role collaborates frequently within MRTS and across FINRA’s Regulatory Operations, Data Privacy, Records Management, and Technology Teams. This role is a senior individual contributor who is viewed as a valuable resource by peers and manages end to end projects and processes.

Essential Job Functions:

• Provides advanced operative and navigational support for electronic knowledge management systems by responding to technical questions, developing training demonstrations, and creating troubleshooting guides for employees across the enterprise.
• Acts independently to execute daily activities within the Information Management, Records Management, and Entitlements Management work area, including managing e-record conversions, administering security and authorization controls, and enforcing policy requirements.
• Formulates solutions designed to achieve operational, functional, and business targets related to new and existing technologies for knowledge management, storage, and sharing.
• Provides senior management with evaluations and analyses regarding latest trends, technologies, opportunities, and concerns in the Information Management, Records, Management, and Entitlements Management landscape and consults on prospective system integrations and process adaptations.
• Drives the success of work area processes by managing the collection, categorization, storage, distribution, and destruction of electronic and physical records and information.
• Designs and develops knowledge sharing processes and tools to facilitate the receipt of, accessibility, and retrieval of critical records and information by employees throughout the organization.
• Guides other colleagues through consultation and mentoring in techniques and processes and provides functional supervision.
• Integrates the culture of intelligence, integrity, and initiative into team goals and decisions.

Other Responsibilities:

• Advocates on behalf of MRTS and Regulatory Operations, and the data owned by MRTS in enterprise-level forums, including Enterprise Data Privacy Office, Enterprise Records, and the Data Management Governance Office.
• Represents MRTS on internal committees related to the Information Management, Records Management, and Entitlements Management work area as needed.
• Analyze, interpret, and summarize relevant complex regulatory/legal documents, such as SEC approval orders, requests for comment, and data use-related contracts to inform policy recommendations and interpretations.

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.
• Experience with securities market structure issues, associated data, regulations and/or market surveillance business processes is required.
• Advanced knowledge/training in business/legal writing.
• Advanced skills in the use of Microsoft Office Suite.
• Excellent written and verbal communications skills, including interpersonal and presentation skills.
• Strong organizational skills and excellent attention to detail.
• Advanced time management, prioritization and strong analytical skills required.
• Experience working on complex projects independently.

Working Conditions:

• This is a hybrid position, with office attendance expected as deemed necessary.
• Some travel may be required.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, and WA the chart below outlines the proposed salary range for the corresponding location. 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 internal peer compensation comparisons.

CA: Minimum Salary $146,200, Maximum Salary $296,100

CO/HI/MN/VT*: Minimum Salary $127,300, Maximum Salary $246,600

IL*: Minimum Salary $139,800, Maximum Salary $271,400

Jersey City, NJ/NY, NY: Minimum Salary $152,700, Maximum Salary $296,100

MD/Washington, DC: Minimum Salary $146,200, Maximum Salary $283,800

WA: Minimum Salary $127,300, Maximum Salary $283,800

• Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

#LI-Hybrid

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

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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 at 240.386.4865 or by email at EmployeeRelations@finra.org. Please note that this process is exclusively for inquiries regarding application accommodations. 

Employees may be eligible for a discretionary bonus in addition to base pay. FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement and many other benefits. 

Time Off and Paid Leave*

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

• Based on full-time schedule

Important Information

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.

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 and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

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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