Senior Principal Analyst, CAT Business Operations

The Senior Principal Analyst of CAT Business Operations leads strategic initiatives and project delivery for the Consolidated Audit Trail (CAT), a critical regulatory program that ensures market transparency and investor protection. This role defines project milestones, leads requirement gathering with Plan Participants and Industry Members, and serves as a subject matter expert who mentors analysts and delivers industry-facing solutions. This position is a seasoned individual contributor who works independently with minimal oversight.

Essential Job Functions:

• Provides excellent internal/external customer service in specialized area of regulatory responsibility, namely the Consolidated Audit Trail.
• Regularly interfaces with and provides subject matter expertise to internal and external stakeholders, including Industry Advisory Committee, SEC personnel, and senior leaders regarding potential business and technical solutions related to the CAT.
• Responds to complex regulatory compliance inquiries and technical problems from internal and external customers by using expertise on SEC Rule 613, the CAT NMS Plan rules and related technical specifications.
• Reviews and delivers written guidance and training programs regarding potential business and technical issues related to the CAT.
• Leads end-to-end requirements lifecycle from stakeholder discovery sessions through business requirements development, UAT design, and execution, while bridging business and technology perspectives to translate strategic visions into actionable deliverables.
• Serves as a subject matter expert on SEC Rule 613, the CAT NMS Plan rules and related technical specifications, for the team.
• Leads quantitative research to support decision-making related to CAT reporting guidelines.
• Partners with Senior Management to identify and resolve complex issues including resource constraints, data errors, and unexpected scenarios, delivering critical recommendations and solutions within strict deadlines.
• Identifies, tracks, and escalates customer service issues and trends to senior management, providing actionable feedback and recommendations on application and system performance and availability.
• Mentors and coaches junior colleagues in techniques, processes and responsibilities.
• Demonstrates FINRA’s values.
• Collaborates, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

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.
• Advanced degree is desirable.
• Significant experience with business process mapping, requirements gathering, and authoring of technical documentation.
• Advanced knowledge of securities markets including member firm operations, FIX/messaging protocols, and regulatory reporting. Familiarity with SRO rules and the Securities Exchange Act of 1934 preferred.
• Excellent written and verbal communication skills, including the ability to prepare clear, concise reports and presentations, with a demonstrated ability to explain complicated information to a wide audience.
• Excellent interpersonal skills, with the ability to provide exceptional customer service, anticipate customer needs, and build/maintain relationships with key partners.
• A minimum of five (5) years of experience writing queries against relational databases and performing data analysis.
• Strong organizational skills with exceptional attention to detail and an ability to prioritize and manage multiple complex projects in a fast-paced environment.

Working Conditions:

• Hybrid work environment, with defined in-person presence requirements.
• Extended hours may be required.

For work that is performed in CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, 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. 

CO/FL/TX: Minimum Salary $114,200, Maximum Salary $207,200

IL/PA: Minimum Salary $125,900, Maximum Salary $228,000
MA/MD/VA/Washington, DC: Minimum Salary $131,200, Maximum Salary $238,300

NY/NJ: Minimum Salary $131,200, Maximum Salary $248,700

#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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Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, 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, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.

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, unless otherwise required by law (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 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.

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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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