Senior Risk & Compliance Analyst (Hybrid)

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. It 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. Performs 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. Assists 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 and 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 communication 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. Compensation For work performed in CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, the hourly rate ranges are as follows: CO/FL/TX: Minimum Hourly Rate $34.80, Maximum Hourly Rate $62.09 IL/PA: Minimum Hourly Rate $38.40, Maximum Hourly Rate $68.41 MA/MD/VA/Washington, DC: Minimum Hourly Rate $40.07, Maximum Hourly Rate $71.46 NY/NJ: Minimum Hourly Rate $40.07, Maximum Hourly Rate $74.57 Benefits 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. FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, disability and legal benefits, and others. FINRA offers 401(k) plan with company match and eligibility for additional retirement contributions, tuition reimbursement, commuter benefits, and wellness programs. Paid time off includes 15 days of paid time off, 5 personal days, 9 sick days, volunteer service days, military leave, jury duty leave, bereavement leave, voting leave, and parental leave. Full‑time employees receive nine paid holidays. Code of Conduct All employees must comply with FINRA’s Code of Conduct, disclose all brokerage accounts, and adhere to investment restrictions. Employees are required to disclose all brokerage accounts they maintain and those in which they have a financial interest. Employees may only maintain securities accounts that must be disclosed to FINRA and must move accounts from non‑e‑feed firms to an e‑feed firm within three months. Equal Opportunity Employer FINRA is an Equal Opportunity Employer. All qualified applicants receive consideration for employment without regard to legally protected categories, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law. #J-18808-Ljbffr FINRA