Senior Analyst, TS Market Operations

About the role

Join FINRA, a not-for-profit organization dedicated to protecting investors and ensuring the integrity of America's financial markets. As a Senior Analyst in Market Operations, you'll monitor live trading activity, resolve issues, and serve as a trusted point of contact for member firms, exchanges, and regulatory partners.

Responsibilities

• Maintain a watchful eye on the markets: Monitor intra-day trading via system alerts, phone calls, and emails, resolving routine matters independently and escalating complex or novel issues to senior staff or subject matter experts.
• Provide exceptional customer service: Respond promptly to inquiries from member firms, SROs, other FINRA departments, and vendors, maintaining a high level of professionalism and accuracy.
• Ensure data quality: Keep databases clean and accurate, supporting the smooth operation of the marketplace.
• Document thoroughly: Record all alert review activities meticulously, ensuring clarity and completeness in documentation.
• Support leadership: Prepare clear, well-organized reports for senior leadership to inform decision-making and resolution processes.
• Contribute to innovation: Develop and test analytics tools and operational methodologies to enhance team efficiency and effectiveness.
• Stay informed: Stay current on industry trends, practices, and regulatory developments to ensure compliance and adaptability.

Qualifications

• Bachelor's degree and at least 3 years of relevant experience in the securities/financial services industry, financial markets operations, or a regulatory environment.
• Working knowledge of FINRA and other SRO rules, as well as the Securities Exchange Act of 1934 and its associated rules and regulations.
• Ability to identify potential securities rule violations and demonstrate strong analytical and critical thinking skills.
• Excellent written and verbal communication skills, including the ability to prepare clear, concise reports and presentations.
• Solid organizational skills, capable of managing multiple tasks, deadlines, and priorities simultaneously.

Preferred Qualifications

• Experience with financial systems and databases.

Other Ways You'll Contribute

• Participate in the development and testing of analytics tools and operational methodologies.
• Stay current on industry trends, practices, and regulatory developments.

What You'll Bring

• Bachelor's degree and at least 3 years of relevant experience in the securities/financial services industry, financial markets operations, or a regulatory environment.
• Working knowledge of FINRA and other SRO rules, as well as the Securities Exchange Act of 1934 and its associated rules and regulations.
• Ability to identify potential securities rule violations.
• Strong analytical and critical thinking skills, with keen attention to detail.
• Excellent written and verbal communication skills, including the ability to prepare clear, concise reports and presentations.
• Solid organizational skills, capable of managing multiple tasks, deadlines, and priorities simultaneously.