Associate Principal Analyst, Market Strategy & Research

The Associate Principal Analyst in 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, and achieve the goals and priorities of the department. Responsibilities 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. Demonstrate FINRA’s values. Collaborate, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity. Qualifications 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. FINRA is an Equal Opportunity Employer. All qualified applicants receive consideration for employment without regard to any legally protected category. #J-18808-Ljbffr FINRA