Principal Compliance Analyst, Transparency Services

The Principal Compliance Analyst in Transparency Services works in partnership with the Senior Principal Compliance Analyst to manage all aspects of compliance with respect to the Regulation Systems Compliance and Integrity (“Regulation SCI”) rule, Federal Information Security Management Act (FISMA), and Federal Risk and Authorization Management Program (FedRAMP) for the Multi Product Platform application. This role ensures compliance with regulations, maintains appropriate policies and procedures, and coordinates with other FINRA departments such as Internal Audit, InfoSec, and FINRA technology, as well as our external technology provider, Nasdaq. The Principal Compliance Analyst conducts application testing in accordance with FINRA Rules, Reg SCI, FISMA and FEDRAMP requirements, collaborates with FINRA InfoSec team and Nasdaq to identify FISMA/FEDRAMP controls and provides continuous monitoring as defined by the Federal Reserve. The Principal Compliance Analyst serves as a backup to the Senior Principal Compliance Analyst for all compliance related matters.

Essential Job Functions:

• Manage all Reg SCI, FISMA and FEDRAMP related matters, in collaboration with the Sr Compliance Specialist, including interfacing with other FINRA departments, external vendors, the Federal Reserve, and the SEC as required.
• Track recurring and on-going compliance tasks.
• Participate in on–going Reg SCI committees/meetings and act as a backup to the Sr Compliance Specialist on all compliance related matters.
• Responsible for following FINRA wide Reg Sci procedures for tracking events, as well as drafting and delivering SEC Notifications of SCI related issues and events in accordance with rule requirement and procedure.
• Participate in annual review and certification of Reg SCI procedures, ensuring Business Continuity procedures are updated.
• Conduct annual industry wide BCP testing, including functional testing.
• Respond to all requests from Internal Audit for annual Reg SCI, FISMA and FEDRAMP audits, including providing evidence for all controls, documenting and tracking findings, and collaborating with their immediate manager to ensure all findings are addressed.
• Represent Transparency Services in annual SEC Reg Sci audit.
• Manage all continuous monitoring procedures for FISMA and FEDRAMP in collaboration with the Sr Compliance Analyst.
• Provide guidance in all other audits conducted by Internal Audit, Finance and external parties as needed.

Education/Experience Requirements:

• Bachelor’s degree, preferably in Management Information Systems.
• Minimum six (6) years of experience working on Brokerage applications with a focus on compliance, business analysis, project management and/or testing.
• Familiarity with rule making process, review of rules, and interaction with legal departments in translating rules into system requirements.
• Must have excellent verbal and written communication skills as well as experience communicating with technical and operations teams.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, and WA the chart below outlines the proposed 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 $106,400, Maximum Salary $200,200

CO/HI/MN/VT*: Minimum Salary $92,500, Maximum Salary $166,800

IL*: Minimum Salary $101,800, Maximum Salary $183,900

Jersey City, NJ/NY, NY: Minimum Salary $111,000, Maximum Salary $200,200

MD/Washington, DC: Minimum Salary $106,400 Maximum Salary $191,800

WA: Minimum Salary $92,500, Maximum Salary $191,800

*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.

#LI-Hybrid

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

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

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Employees may be eligible for a discretionary bonus in addition to base pay. 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, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal.  FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement and many other benefits. 

Time Off and Paid Leave*

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

*Based on full-time schedule

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

You can read more about these restrictions here.

As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

Search Firm Representatives

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FINRA is an Equal Opportunity and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

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