Senior Business Analyst

Full Time Travel Required
Job Posting Details
About Financial Industry Regulatory Authority
FINRA is dedicated to investor protection and market integrity through effective and efficient regulation of the securities industry.
Summary
Responsible for the creation and maintenance of complex controls and procedures used to manage Market Regulation’s automated surveillance portfolio, client and SEC reporting obligations and ad hoc projects as needed. Specifically, the Principal Business Analyst – Governance will be responsible for ensuring that governance processes related to Market Regulation’s automated surveillance portfolio and reporting obligations are carried out through coordination with other staff from Surveillance, Research Methodologies and Governance (SRMG), Market Regulation – Business and Technology. This role will also be responsible for managing SRMG’s internal management and client reporting program by balancing user needs against efficiency demands. The Principal Business Analyst – Governance will also identify, collect and conduct due diligence on materials responsive to an audit, client oversight or SEC request/inspection.
Responsibilities
**Essential Job Functions:** - Coordinate with SRMG staff, Market Regulation Business and Technology to determine and document impacts associated with client-initiated and/or SEC-mandated changes or requests. This includes reviewing rule changes and communicating the changes to business users and Technology. - Track and resolve issues with Market Regulation, Technology and client exchange representatives. - Facilitate recurring client status meetings where change requests, changes under development and ad hoc requests are discussed. This includes creation of the agenda and meeting minutes and facilitation of the meetings. - Manage the Surveillance Pattern Inventory Explorer (SPIE) application. This includes making updates to information in SPIE in accordance with Knowledge Management Board (KMB) procedures, identifying new requirements and coordinating implementation of requirements with Technology. - With support from manager, oversee the evolution of Market Regulation’s internal management and client reporting program to be responsive to user needs and efficiency demands. - Produce and develop reports for senior management and clients. This requires documenting the logic used to produce reports and validation criteria to test them. - Manage the requirements for reports and tools that Governance staff use to monitor subject areas such as a) the timeliness of surveillance pattern job runs, b) the disposition and age of alerts and investigations/examinations, c) alert yield and d) client exchange participation in cross-market surveillance alerts. Coordinate with Technology to implement requirements. - Identify, collect and conduct due diligence on materials responsive to audit, client oversight and SEC requests. - Fulfill external data requests including SEC data requests and subpoenas. - Maintain SRMG departmental procedures. - Communicate and monitor for compliance with these procedures across the department. Make updates to the procedures as needed. - As requested, complete special projects for the Senior Vice President that are critical to the attainment of Department goals and objectives. **Other Responsibilities:** - Ensure all assigned activities are completed according to prescribed policies and standards. - Coordinate and provide status reports of assigned tasks or projects. - Maintain current knowledge of applicable business activities. - Fulfill administrative reporting tasks.
Ideal Candidate
**Education/Experience Requirements:** - A Bachelor’s degree, preferably in Information Systems, Accounting, Finance, Business Administration or a related area. Equivalent work experience will be considered. - Minimum of 8 years relevant business experience is required. - Experience in the assessment and implementation of business processes, process improvement, product development and strategic initiatives is preferred. - Experience in writing SQL is preferred. - Strong verbal and written communication skills are essential. **Working Conditions:** - Work is normally performed in an office environment. - Some travel is required.
Compensation and Working Conditions

Working Conditions

Surveillance Research, Methodologies and Governance

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