Senior Principal Analyst, FINRA CAT Technology
Senior Principal Analyst, FINRA CAT Technology
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Job Description
Essential Job Functions:
- Works closely with the Deputy CTO CTO and FINRA CAT Senior Management team to execute CAT National Market System (NMS) Plan required delivery of the CAT System.
- Manages and coordinates release plans roadmaps and other program management tasks across Technology teams and departments that impact CAT operations.
- Develops and delivers organizations financial and budget planning and analysis activities with the Finance Department with emphasis on cloud platform costs.
- Manages the development of CAT NMS Plan required artifacts across teams (e.g. Weekly Technical Working Group artifacts Monthly CAT Service Level Agreements (SLA) analysis Quarterly Capacity Plan for cloud infrastructure etc.)
- Monitors for program risks and develops solutions with FINRA CAT and Technology Senior Management including the completion of quality control assessments and engagement with CAT Security to develop risk monitoring practices.
- Serves as departmental point of contact for advanced operational and navigational supportfor FINRA CAT systems developing training for CAT User Acceptance Testing and creating troubleshooting guides for employees across the enterprise.
- Manages contract updates and operation contract tasks with internal and external vendor parties.
- Directly interfaces with client (SRO) technical teams to resolve operational and/or technical issues for CAT Data submission workflow and/or CAT Data access tools
- Demonstrates FINRAs values.
- Collaborates both in-person and virtually in furtherance of FINRA CATs mission.
Education/Experience Requirements:
- A bachelors degree and a minimum of eight (8) years experience in Computer Science Data Science Data Analytics or Engineering; or an equivalent combination of education and relevant experience.
- Minimum of five (5) years experience with cloud platforms like AWS Azure or Google Cloud.
- Experience with management of software delivery and software delivery lifecycles preferably in organizations that focus on capital markets financial services trading and other similar business industry.
- Superior organization and time management skills with proven ability to prioritize and execute against multiple projects simultaneously under tight deadlines while maintaining outstanding attention to detail and customer service.
- Excellent written and oral communication skills with the ability to communicate at all levels of the organization.
- High proficiency in data analysis skills with common productivity tools such as Excel Jira and other Project and Program management tools.
- Excellent written and oral communication skills with the ability to communicate at all levels of the organization.
Working Conditions:
- Hybrid work environment with defined in-person presence requirements.
- Extended work hours as needed.
- Some travel may be required.
For work that is performed in CA CO IL Jersey City NJ New York City NY MA MD Washington DC NJ State and NY State please refer to the chart below for the salary range for the corresponding location. In addition to location actual compensation is based on various factors including but not limited to the candidates skill set level of experience education and internal peer compensation comparisons.
CA: Minimum Salary $128000 Maximum Salary $242600
CO*: Minimum Salary $111400 Maximum Salary $202100
IL*: Minimum Salary $122800 Maximum Salary $222400
Jersey City NJ/NYC NY: Minimum Salary $133700 Maximum Salary $242600
MA: Minimum Salary $111400 Maximum Salary $232500
MD/Washington DC: Minimum Salary $128000 Maximum Salary $232500
NJ State: Minimum Salary $122800 Maximum $242600
NY State: Minimum Salary $111400 Maximum Salary $242600
*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.
Please note: If the Apply Now button on a job board posting does not take you directly to the FINRA Careers site enter into your browser to reach our site directly.
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 FINRAs Employee Relations team at 240.386.4865 or by email atPlease note that this process is exclusively for inquiries regarding application accommodations.
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. As part of its dedication to employee wellness 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 commuter benefits and other benefits that support employee wellness such as adoption assistance backup family care surrogacy benefits employee assistance and wellness programs.
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 unless otherwise required by law (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
FINRAs 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 Codes investment and securities account restrictions and new employees must comply with those investment restrictionsincluding disposing of any security issued by a company on FINRAs Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentby 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 FINRAs Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the companys 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 strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process please contact FINRAs Employee Relations team at 240.386.4865 or by email atPlease note that this process is exclusively for inquiries regarding application accommodations.
All qualified applicants will receive consideration for employment without regard to age citizenship status color disability marital status national origin race religion sex veteran status or any other classification protected by federal state or local laws.
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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Required Experience:
Staff IC
Employment Type
Full-Time
