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Principal Analyst
Financial Industry Regulatory Authority (FINRA)
New York, NY, United States
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Job Summary:
The Principal Analyst independently performs an analysis on new, amended, and existing rules and regulations, develops examination policies and procedures, and takes a leading or support in role on special projects and special initiatives in support of FINRA's National Examination Program. The Principal Analyst provides support to departmental management by assisting in training and developing less experienced analysts.
Essential Job Functions:
• Exhibits a high level of competency in performing complex regulatory work and demonstrates substantial knowledge of relevant rules, regulations, guidelines and industry practices.
• Independently analyzes rule proposals, amendments, and changes to FINRA rules, MSRB rules, exchange rules and federal securities rules and regulations to determine impact to FINRA examination procedures.
• Makes independent determinations as to any necessary changes that need to be made to FINRA examination policies and procedures and makes timely updates to associated systems and databases.
• Along with their own tasks, the Principal Analyst provides guidance to others regarding the department’s RSA examination program responsibilities, including updating rule matrices.
• Writes examination policies and procedures that address applicable rule and regulations and provide guidance for the examination staff. Ensures that any necessary updates to policies and procedures are made timely and in accordance with departmental standards.
• Serves as the lead analyst or in a supporting role in conducting special initiatives.
• Assists in training and developing new analysts. Provides feedback on performance of less experienced analysts to assigned mentor and/or supervisor.
• Participates in acceptance testing and/or task forces, providing feedback and guidance to ensure examination and related programs are efficient and effective.
• Keeps management updated on notable trends in industry practices, products and procedures.
• Coordinates and communicates effectively with other FINRA personnel, self-regulatory organizations and agencies.
• Provides timely, accurate responses to inquiries and requests for information.
• Participates as a team member in ad hoc initiatives and multiple projects concurrently.
Qualifications
Education/Experience Requirements:
• Bachelor’s degree in Finance, Accounting, Economics, or Business or equivalent work experience in the financial industry, demonstrating research/analytical skills.
• A minimum of six (6) years of related securities experience required; four (4) years of experience with FINRA preferred. Substantial knowledge of securities industry rules, regulations and guidelines, including securities markets, member firm operations, and books and records.
• Strong interpersonal, oral and written communications and presentation skills.
Working Conditions:
• Work is normally performed in an office environment, with extended hours when necessary.
• Intermittent overnight travel is required.
• Work environment includes high productivity expectations and tight deadlines.