Senior Risk Management Analyst, Transparency Services

The Senior Risk Management analyst in Transparency Services is responsible for reviewing and analyzing a sampling of daily work performed by Transparency Service Market Operations analysts. This position employs well-developed subject-matter expertise and institutional knowledge to ensure critical activities are performed according to documented procedures and guidelines to meet service level agreements, as appropriate. This is an entry-level professional individual contributor who works under close supervision.

Essential Job Functions:

Compiles and maintains statistics related to Market Operations staff daily work functions. Perform reviews of the job functions for timeliness and quality performance with limited supervision and guidance.

Conducts statistical sampling of core activities and performs analyses of results to ensure compliance with documented policies and procedures.

Performs routine quality control reviews of key Transparency Services processes and job functions and assists with the development of action plans to improve accuracy rates, reduce risk, and eliminate routine errors.

Assist with the department's Procedures Portal to ensure controlled access, content accuracy, and compliance with established protocols. Maintains user permissions, oversees timely procedure updates according to departmental schedules, and administers proper check-out/check-in workflows for procedure modifications.

Provides support on non-routine matters and statistical overviews.

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:

A Bachelor’s degree in Finance or Business preferred and a minimum of three (3) years of relevant experience required; or an equivalent combination of education and directly related experience.

Experience utilizing research/analytical skills, quality control, and/or root cause and trend analysis, required.

A general understanding of relevant FINRA/ SEC rules and regulations is required. Strong organizational, analytical and interpersonal skills are required.

Strong attention-to-detail.

Basic writing skills and excellent verbal communications skills required.

Ability to extrapolate and analyze data and information is required.

Demonstrated experience using Excel to manage large datasets, perform data validation, and generate recurring reports with a high degree of accuracy.

Able to handle multiple projects/assignments simultaneously with competing priorities.

Work

Conditions:

Hybrid work environment, with defined in-person presence requirements.

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  Minimum Hourly Rate $34.80, Maximum Hourly Rate $62.09IL/PA:
Minimum Hourly Rate $38.40, Maximum Hourly Rate $68.41MA/MD/VA/Washington, DC:
Minimum Hourly Rate $40.07, Maximum Hourly Rate $71.46NY/NJ:
Minimum Hourly Rate $40.07, Maximum Hourly Rate $74.57#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.

Please note:

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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…