Associate Principal Analyst, Market Strategy & Research

Associate Principal Analyst, Market Strategy & Research

The Associate Principal Analyst, Market Strategy & Research provides analysis critical to proactive regulatory risk assessment and the development of regulatory strategy. This role assists Surveillance to effectively develop regulatory strategy informed by market conditions and developments, as well as achieve the goals and priorities of the department.

Essential Job Functions:

• Work closely with senior staff to effectively conduct continuous qualitative research into market conditions and developments.
• Develop and deliver reports on a regular basis concerning critical regulatory issues and trends for the senior management team and Surveillance business lines.
• Assess and analyze issues requiring the attention of senior leadership and present such issues in an organized and succinct manner.
• Support development of Surveillance environmental SWOT analysis and provide corresponding support to strategic goal development.
• Collaborate with the senior management team on SEC oversight inspections and FINRA internal audits.
• Develop presentations and reports as needed, including for the board and Management Committee.
• Work with counterparts across the organization to help prepare for and respond to significant market events.
• May participate in Surveillance's engagement with Enterprise Risk Management, providing input on enterprise risk assessments concerning Surveillance.
• Demonstration of FINRA's values.
• Collaboration, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity.

Education/Experience Requirements:

• Bachelor's Degree and a minimum of five (5) years of experience in securities, compliance or financial regulation required, or an equivalent combination of education and experience.
• Proven record of creating and providing reporting using metrics, analysis, and data analytics.
• Proven record of acting independently in an unstructured environment to identify and address challenges, make risk-based decisions, develop new initiatives, and strengthen existing programs.
• Strong collaborator and team builder, with excellent written and verbal communication, interpersonal, and presentation skills.
• Exceptional organizational skills, with attention to detail and an ability to administer multiple complex assignments concurrently and execute against tight deadlines.
• Able to interact effectively and in a positive manner with people from a variety of backgrounds in order to reach timely, informed decisions.
• Proven record of project management, process improvement and goal attainment skills, as well as producing high quality written work products.

Work Conditions:

• Hybrid work environment, with defined in-person presence requirements.
• Extended hours may be required.

For work that is performed in Los Angeles and San Francisco, 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. 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 considerations.

Los Angeles, CA: Minimum Salary $96,600, Maximum Salary $119,000

San Francisco, CA: Minimum Salary $100,800, Maximum Salary $124,000

CO/FL/TX: Minimum Salary $83,900, Maximum Salary $150,300

IL/PA: Minimum Salary $92,400, Maximum Salary $165,300

MA/MD/VA/Washington, DC: Minimum Salary $96,600, Maximum Salary $172,800NY/NJ: Minimum Salary $96,600, Maximum Salary $180,400

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.