Principal Analyst, Transparency Services Equities

The Principal Analyst in Transparency Services Equities is responsible for monitoring and responding to real‑time trade report and data dissemination issues. This role coordinates multiple internal teams (e.g., FINRA Market Operations, FINRA Client & System Management, etc.) and external parties (e.g., TRF Business Members, SEC staff, firms, etc.) to respond to emergencies and events. This role analyzes trade data and trading events to make recommendations to senior leadership to meet SEC requirements.

This position is an experienced individual contributor in Business Analytics, who works independently with minimal supervision.

• Monitors trade reporting integrity for regulatory compliance.
• Facilitates compliance with Transparency Services Reg SCI requirements.
• Conducts complex data analysis to identify trends, patterns, and insights that can be used to inform business decisions.
• Designs and implements data collection methods and tools to advance optimal business analytics processes.
• Determines key performance indicators and develops methods to effectively measure and track them on a regular basis.
• Coaches more junior colleagues in techniques, processes, and responsibilities.
• Demonstrates FINRA’s values.
• Collaborates, both in‑person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

• Leads multi‑level initiatives across the organization.
• Provides subject matter expertise in regulatory area to advance FINRA and industry initiatives (e.g., LULD Plan, rule filings, market events, congressional testimony preparation, etc.)
• Remains current on industry trends, practices, and regulatory impacts.

• Bachelor’s Degree and a minimum of seven (7) years of experience in finance, compliance, or a related field.
• Knowledge of, and experience with, the regulation and operation of U.S. broker‑dealers, as well as familiarity with the broader landscape of financial regulation. Experience with securities market structure issues, associated data, regulations and/or market surveillance business processes is required.
• Demonstrates advanced proficiency in financial services data analysis, with expertise in leveraging both internal and third‑party vendor data sources to drive strategic insights.
• Proven track record of developing sophisticated executive‑level reporting that translates complex metrics and data analytics into clear, actionable strategic intelligence.
• Superior organization and time management skills with proven ability to prioritize and execute against multiple projects simultaneously under tight deadlines, while maintaining outstanding attention to detail and customer service.
• Exceptional verbal and written communication skills to work with all levels directly to resolve issues.
• Exceptional ability to operate autonomously in dynamic, unstructured environments, consistently demonstrating strategic problem‑solving, risk‑informed decision‑making, and proactive program innovation.

• Hybrid work environment, with defined in‑person presence requirements.
• Extended hours may be required.
• Travel will be required, as necessary.

For work that is performed in CA, 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. 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 $109,600, Maximum Salary $206,200

CO/FL/TX:
Minimum Salary $95,300, Maximum Salary $171,800

IL*/PA:
Minimum Salary $104,900, Maximum Salary $189,400

MA/MD/VA/Washington, DC:
Minimum Salary $109,600 Maximum Salary $197,600

NY*/NJ:
Minimum Salary $109,600, Maximum Salary $206,200

* 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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