Senior Principal Research Analyst, Market Regulation

The Senior Principal Research Analyst in the Office of Market Regulation is responsible for the planning and execution of analytics projects throughout their lifecycle. This includes defining the approach, having the ability to scope and drive analytics with the appropriate quantitative methods, and working closely with the business to ensure project objectives and goals are met. This role works across the business to promote the use of advanced analytics to solve business problems.

Essential Job Functions:

• Promote the use of advanced analytics and associated insights for the consumption of internal and external stakeholders, including senior level management across the organization.
• Leads business engagement activities including soliciting use cases, user feedback, training, etc.
• Contribute to the development and enhancement of FINRA’s cross-market surveillance program.
• Work across delivery teams to deliver analytics capabilities that solve critical business problems.
• Drive availability of relevant data, tools, and infrastructure to facilitate for experimental and development purposes.
• Provide analytics-based research and respond to ad hoc requests in support of business objectives.
• Define approach for data collection for building analytics-based systems, transformations and extending company’s data with third party sources of information when needed.
• Devise and implement methods for automation of all parts of the predictive pipeline to achieve regulatory efficiencies.
• Actively participate in the completion of the enterprise-wide strategic plan for expanding analytics capabilities that support regulatory programs to improve efficiency and effectiveness.

Other Responsibilities:

• Ensures all assigned activities are completed according to prescribed policies and standards.
• Provides reports on status of assigned tasks or projects.
• Maintains current knowledge of applicable business activities.
• Fulfills administrative reporting tasks.
• Oversees user acceptance testing prior to implementing a new system or major enhancement.
• Keeps abreast of new techniques to be used in conducting market monitoring and surveillance.
• Participates in presentations to visitors and senior management on the use of technology, e.g., prototypes of new systems for Market Regulation.

Education/Experience Requirements:

• Graduate degree in Computer Science, Economics, Finance, Business, with a minimum of six years of experience. Experience can be substituted for an advanced degree.
• Advanced degree is highly desirable.
• Must have strong financial and risk analytical skills and have some experience in operations and risk modeling fields, as well as comfort in analyzing large amounts of data in an efficient manner.

Work Conditions:

• No extraordinary working conditions; minimal 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 $124,300, Maximum Salary $235,500

CO/HI/MN/VT*: Minimum Salary $108,200, Maximum Salary $196,200

IL*: Minimum Salary $119,200, Maximum Salary $215,900
Jersey City, NJ/NY, NY: Minimum Salary $129,800, Maximum Salary $235,500

MD/Washington, DC: Minimum Salary $124,300, Maximum Salary $225,700

WA: Minimum Salary $108,200, Maximum Salary $225,700

*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.

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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

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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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