Associate Principal Governance Analyst, Surveillance Optimization and Innovation

The Associate Principal Governance Analyst role on the Surveillance Optimization and Innovation Team is responsible for managing the governance of FINRA’s first in class surveillance program. This role is responsible for working closely with business and technology stakeholders as well as Regulatory Service Agreement (RSA) clients through the operation of FINRA’s Knowledge Management Boards. This role also works with under the guidance of management to foster the evolution of the governance process through dynamic approaches and technology enablement.

• Assist with the day-to-day operations of the Surveillance governance program including FINRA’s Knowledge Management Boards accountable for executive business control of the surveillance program.
• Responsible for the surveillance inventory and related reporting.
• Assists with the identification of opportunities for the optimization of the governance program and implements impactful enhancements.
• Assists with technology initiatives related to surveillance development, maintenance, and business enablement.
• Represents FINRA in internal/external meetings.

• Provides support to multi-level initiatives across Regulatory Operations and/or Surveillance
• Provides subject matter expertise in regulatory areas to advance FINRA and industry initiatives (e.g., CAT, Notice to Members, rule filings, market events, congressional testimony preparation)
• Remains current on industry and technology trends, practices, and regulatory impacts.
• Demonstration of FINRA’s values.
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

• Bachelor’s degree and a minimum of four (4) years of experience in the securities/financial services industry; or an equivalent combination of education and experience in positions of increasing responsibilities.
• FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent is required within 16 months of start date of the assigned SIE cohort.
• Experience managing and developing governance policies, procedures, and/or internal controls required.
• Demonstrated project management, process improvement, understanding of surveillance development lifecycle and goal attainment skills.
• Extensive Working knowledge of FINRA, MSRB and other SRO rules and the Securities Exchange Act of 1934 and the rules and regulations thereunder.
• Requires excellent written and verbal communications skills, including interpersonal and presentation skills.
• Strong organizational skills and excellent detail orientation.

Hybrid work environment, with defined in-person presence requirements. Hours which may extend beyond normal business hours. Travel will be required, as necessary. For work that is performed in CO, CT, IL, PA, MA, MD, VA, WA, DC, NY, NJ, WA please refer to the chart below for the salary range for the corresponding location.

• Los Angeles, CA: $96,600 - $127,000
• San Francisco, CA: $100,800 - $132,000
• Boston, MA: $96,600 - $172,800
• Chicago, IL: $92,400 - $165,300
• Denver, CO: $83,900 - $150,300
• Jericho, NY: $96,600 - $172,800
• Jersey City, NJ: $100,800 - $180,400
• Philadelphia, PA: $92,400 - $165,300
• New York, NY: $100,800 - $180,400
• Rockville, MD: $96,600 - $172,800
• Tysons, VA: $96,600 - $172,800
• Washington, DC: $96,600 - $172,800
• Woodbridge, NJ: $96,600 - $172,800
• Connecticut State: $83,900 - $180,400
• Washington State: $83,900 - $180,400

• 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…