Senior Analyst, MS Operations, Procedures & Standards - Any Finra Location

This is an individual contributor role in Member Supervision’s Operations, Procedures and Standards (MS OPS) team, working under moderate supervision to assist with the development, implementation, and maintenance of operations, procedures, standards, and reporting impacting departments across Member Supervision.

This role continuously evaluates the program for areas of improvement, helps to resolve complex operational issues, and supports regulatory initiatives by partnering with key stakeholders across the enterprise

Essential Job Functions:


* Participates in the establishment of centralized operational processes to increase efficiency, minimize duplication, and ensure sufficient controls are in place.


* Assists in the enhancement and/or development of new process, controls, or procedures.


* Develops and implements departmental specific policies, procedures, and guidance, under manager supervision.


* Produces and disseminates reporting to key stakeholders.


* Aids in the periodic assessment of procedures to determine if further development or updates are required.


* Maintains and continuously develops knowledge of departmental functions and industry developments.


* Participates in the regulatory change process for a subset of business units and assists with performing impact assessments.


* Supports team in facilitation of departmental-wide meetings to communicate updates and train staff on programmatic changes to processes, tools, controls, technology, policy/procedures.


* Develops and maintains working relationships across Member Supervision, throughout FINRA, and other external stakeholders, including the SEC, states, other regulatory agencies, and the industry.


* Assists in maintenance of content on Regulatory Operations systems and internal websites.


* Support the development and maintenance of operational metrics, providing insight into key performance and risk indicators for senior management

Other Responsibilities


* Assists senior staff with strategic objectives deliverables and issue remediation, as needed.


* Assist with special projects and ad hoc initiatives including, but not limited to internal and external requests, as needed.

Education/Experience Requirements:


* Bachelor’s degree in business or related field and a minimum of three (3) years of directly related securities experience, or an equivalent combination of education and relevant experience.


* Demonstrated understanding of regulatory/policy requirements, the impact on process and controls, and ability to succinctly document all elements.

Knowledge Requirements:


* Basic knowledge of securities rules and regulations.


* Basic knowledge of firm business models, business lines, customer bases, products and services.


* Developing knowledge of U.S.

GAAP accounting standards.

Skill Requirements:


* Developing ability to engage and work effectively with senior business management...