Lead Analyst, Technology - Consolidated Audit Trail - FINRA

FINRA is dedicated to protecting investors and ensuring the integrity of America's financial system. At FINRA we are focused on employee career development, offering learning opportunities, resources, and tools to help you achieve your professional aspirations. We have an exciting opportunity for a Lead Analyst, Technology - Consolidated Audit Trail:

The Lead Analyst will directly manage the business analysis activities on one or more complex projects. The Lead Analyst will collaborate with others to contribute toward the vision and strategy for the product area. The incumbent will also act as a liaison between the business stakeholders and the product/delivery team to develop a shared understanding of the business need and the technology approach to satisfy those needs. Experience supporting technical implementation of CAT Reporting applications, is required.

Essential Job Functions:

• Analyze business processes, functions and procedures to determine the most effective business systems technology to meet the needs of the business unit.
• Manage and mentor less-senior analysts on the team.
• Serve as a subject matter expert for multiple business processes and/or systems and provide advanced level support.
• Establish objectives based on business requirements and cost effectiveness, and provide recommendations to management.
• Oversee team designing data and process models, and defining and documenting design requirements.
• Manage the direction of the products by providing input into the product vision and by defining/prioritizing short-to-medium term goals.
• Build strong partner relationships with business stakeholders, including senior management. Add technology expertise to discussions about business changes and impacts.
• Develop and improve design strategy and plan for testing.
• Manage and provide new features and enhancements for the product team to develop.
• Collaborate with product manager to prioritize upcoming changes.
• Develop training programs and materials for end users.
• Lead end-user feedback activities, such as, user acceptance testing and demonstration.
• Lead change management tasks, such as writing end-user documentation and delivering training.
• May use SQL to analyze data sources and check for anomalies.

Other Responsibilities:

• Perform other duties, as assigned.

Education/Experience Requirements:

• Bachelor’s degree in Computer Science, Information Systems or related discipline with at least eight (8) years of related experience, or Master’s degree in Computer Science, Information Systems or related discipline with six (6) years of related experience, or equivalent training and / or work experience.

Essential Skills:

• Advanced knowledge of Agile software development processes and creating common artifacts
• Ability to develop effective working relationships that improve the quality of work products
• Advanced knowledge of programming languages, including SQL R, Python and any other related technology tools to conduct analysis
• Advanced project management skills in order to handle diverse projects and meet aggressive deadlines
• Experience supervising staff
• Advanced analytical and problem solving skills
• Excellent interpersonal and communication skills with the ability to communicate at all levels of the organization
• Excellent knowledge of business
• Excellent organizational skills and writing skills

Working Conditions:

• Work is normally performed in an office environment.
• This positon requires occasional travel.

For work that is performed in CA, Washington, DC, CO, HI, New York, NY 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.

California: Minimum Salary $124,300, Maximum Salary $235,500

Washington, DC: Minimum Salary $124,300, Maximum Salary $225,700

Colorado/Hawaii: Minimum Salary $108,200, Maximum Salary $196,200
New York, NY:   Minimum Salary $129,800, Maximum Salary $235,500
Washington State: Minimum Salary $108,200, Maximum Salary $225,700

#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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FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at 240.386.4865 or by email at EmployeeRelations@finra.org. Please note that this process is exclusively for inquiries regarding application accommodations. 

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

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

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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