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Associate Principal Analyst, Risk Management

Company: Financial Industry Regulatory Authority, Inc.
Location: Rockville
Posted on: September 17, 2022

Job Description:

The Associate Principal Analyst in Market Operations Risk Management performs a variety of specific duties including reviewing and analyzing a sampling of daily work performed by analysts within Transparency Service to ensure critical activities are performed according to documented procedures and guidelines and to meet service level agreements, as appropriate. This is mid-level professional work in which incumbent performs their assigned role, develops job-related skills, and works under limited supervision.Essential Job Functions:

  • Compile and maintain statistics related to Transparency Services (TS) staff daily work functions. Perform reviews of the job functions for timeliness and quality performance with limited supervision and guidance to ensure compliance with documented policies and procedures.
  • Perform Quality Control (QC) of key Transparency Services functions by reviewing and analyzing information contained in the department's various databases and tracking systems. Review applications/databases such as Reference Data Management System ('RDMS'), Corporate Actions Customer Response Management System ('CRM'), Double Check and Vendor Management system to gather and review information.
  • Monitor on daily basis the Double Check system to ensure that alerts reviewed on a timely and equitable basis.
  • Meet with Manager, as appropriate, to discuss areas of risk, trends, and work process inconsistencies. Assist with the development of action plans to improve accuracy rates, reduce risk, and eliminate routine errors.
  • Assist in maintaining department's Procedures Portal and ensure that only appropriate personnel have access to the site. Additionally, ensure that procedures are updated, meet the department and FINRA's established format and timelines and previous and current versions of all procedures are kept and maintained.
  • Assist Department's Records and Information Manager in Records and IPPP processes and procedures by updating procedures with new requirements, developing, create and maintain yearly Records and IPPP training and managing records destruction process.
  • Complete quarterly user verifications to maintain access controls on certain applications used by staff: Effectively conducts user verification reviews for various trade reporting facilities and systems, and ensures the reviews are conducted timely.
  • Develop and maintain access review policies and procedures to be used by the department, including DIPPG: Strong knowledge of FINRA policies, and develops and maintains access review policies for TS Department.
  • Works effectively with managers and TS Department staff to ensure training material are efficient as well as develop training support tools identified.
  • Communicate effectively with other staff and units to provide resolution to issues with clarity, tact and professionalism.
  • Provide advice, guidance, and instruction to entry-level Analysts.
  • Confer with senior staff and management for guidance on highly complex issues and statistic overviews.Other Responsibilities:
    • Maintain essential skills by attending classes, training programs, and required staff meetings, which may occur outside normal business hours.
    • Assist with special projects as assigned by management.
    • Perform other duties required to maintain and promote the effective operation of the Risk Management Unit and other units in Transparency Services Market Operations.Education/Experience Requirements:
      • A Bachelor's degree or equivalent work-related experience required. A minimum of five (5) years relevant or related experience required in a role that utilized research/analytical skills, quality control, and/or root cause and trend analysis.
      • A general understanding of relevant FINRA/SEC rules and regulations is required.
      • Strong organizational, analytical, and interpersonal skills are required.
      • The ability to multi-task and attention-to-detail are essential.
      • Basic writing skills are required and excellent verbal communications are necessary.
      • Ability to extrapolate and analyze data and information is required.
      • Detecting patterns and attention to detail is essential.
      • Proficiency in Windows PC environment, including MS Word and Excel is required.
      • Able to handle multiple projects/assignments simultaneously with competing priorities.Working Conditions:
        • Work is performed in an open office environment.
        • Evenings/weekends may be required on occasion.#LI-HybridTo be considered for this position, please submit an application. 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.Please note: If the "Apply Now" button on a job board posting does not take you directly to the FINRA Careers site, enter into your browser to reach our site directly.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 accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.Important InformationFINRA'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 .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 RepresentativesPlease 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 EmployerAll 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. -2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Keywords: Financial Industry Regulatory Authority, Inc., Rockville , Associate Principal Analyst, Risk Management, Executive , Rockville, Maryland

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