Principal Data Analyst - Any FINRA Location
: Job Details :

The Principal Data Analyst performs accurate data analysis in non-complex Enforcement matters in accordance with well-established methodology. The Principal Data Analyst is responsible for the strategic design and implementation of non-complex analytical and/or advanced data abstraction models for various securities products, fact patterns, new rules, high risk activities as well as performing ad hoc market analysis in support of the Enforcement Department. This role will be responsible for working with large volumes of data to identify securities law and rule violations, as well as detecting and understanding trends in the marketplace.Perform accurate data analysis in non-complex enforcement mattersConduct advanced analyses and establishes and maintains consistent methodologyServe as the quantitative research analyst in building sophisticated models, determining proper empirical methodology, organizing data collection, writing unique programs, preparing written reports, and summarizing the results of analytic studies in formal and informal presentations.Identify and resolve questions about the best approach to data analysis to ensure consistency in matters across FINRASupport senior team members in more complex analytics projects for investigationIdentify new investigative or analytics techniques as needed and assess the model for consistency with accepted approachesDesign of quantitative reviews for detecting securities law and rule violations leveraging large volumes of equity, options and fixed income dataProvide efficient quantitative support for market studies and investigationsEffectively describe data analysis and findings, noting exceptions or assumptions embedded in analysisIdentify interpretive or novel issues, and participate in discussions with other departments regarding interpretive issuesCommunicate with other investigative units across FINRA to problem-solve and resolve conflicts in investigative approaches or inconsistent findings and leveraging senior analytics team as needed.Efficiently complete data analysis in all types of enforcement Investigations and reviews to achieve timely results.Establish timelines and achieve them in a timely fashionIdentify and escalate matters or issues that require re-prioritization, and recommend next steps or alternative approachesPrioritize risks and needs appropriatelyProvide work product that requires minimal change or re-directionPerform peer review for analytics projects produced by the team to ensure consistent methodology and accurate outputCollaborate with investigative team, including attorneys, to produce a sound factual record supported by a clear legal framework in all types of matters.Partner with legal staff to plan investigation and fully develop the record in all matters, with respect to data analyticsAccurately and succinctly discuss case or issues in meetings with supervisor and other stakeholdersProvide clear and accurate factual analysis findings to legal staff, and provide insight from industry experience and/or subject matter expertise to help objectively assess the sufficiency of evidenceProactively identify and discuss relevant and accurate factual findings with legal staff including areas of weakness or factual ambiguityProvide effective testimony in litigationDemonstrate ability to perform analysis in non-complex investigations .Identify opportunities to work with staff in other departments or leverage other matters for more efficient resultsSupport management and others to inform internal and external constituents on overall program vision, strategy, operations, processes, and implementation statusCounsel other staff on efficient ways to leverage collective knowledge and work across the organizationEnsure that team members' contributions result in a consistent and coherent record and analysisWorks with team members to achieve more efficient results. Keep managers informed and incorporate feedback into planning and executionProvide feedback and/or deliver training to other team membersEducation/Experience Requirements:Bachelor's degree in Computer Science, Engineering, Statistics/Data Science/Analytics, or Economics/Finance/Accounting, or equivalent combination of education and experience. Advanced degree highly desirable.Minimum of six (6) years of related experience, with two (2) years of experience and knowledge in the field of quantitative analysis as it relates to the securities industry.Must have strong financial and risk analytical skills; experience in operations and risk modeling fields; and demonstrated ability to analyze large amounts of data in an efficient manner.Experience in advanced statistical methods, pattern recognition, outlier detection algorithms, and/or building predictive models preferred.Experience in one or more tools: SQL, Python/R, Strata, Power BI, Spark, Dataiku.Working Conditions:Hybrid or remote environment. At times, may work outside of normal business hours and overnight travel may be required.For work that is performed in CA, CO, 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 $98,400, Maximum Salary $193,400Colorado: Minimum Salary $89,400, Maximum Salary $161,200New York, NY: Minimum Salary $107,200, Maximum Salary $193,400Washington: Minimum Salary $89,400, Maximum Salary $185,300#LI-HybridTo be considered for this position, please submit an application. 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 www.finra.org/careers 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 FINRA's accommodation help line at 240.###.####. Please note that this number 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 scheduleImportant InformationFINRA'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 RepresentativesPlease 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 EmployerAll 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.2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.SummaryLocation: New York, NY (Job Posting); Kansas City, MO (Job Posting); Jericho, NY (Job Posting); Denver, CO (Job Posting); Dallas, TX (Job Posting); Chicago, IL (Job Posting); Boston, MA (Job Posting); Boca Raton, FL (Job Posting); Atlanta, GA (Job Posting); Jersey City, NJ (Job Posting); Woodbridge, NJ (Job Posting); Washington, DC (Job Posting); San Francisco, CA (Job Posting); Rockville, MD (Job Posting); Philadelphia, PA (Job Posting); New Orleans, LA (Job Posting); Los Angeles, CA (Job Posting)Type: Full time