Analyst, Operations Control recruitment
Job Summary: This position assists the Director of Operations Control in reviewing and analyzing a sampling of daily work performed by Transparency Service Operations analysts. Incumbent will be required to employ well-developed subject-matter expertise and institutional knowledge to ensure critical activities are performed according to documented procedures and guidelines and to meet service level agreements, as appropriate. Essential Job Functions:
- Compile and maintain statistics related to Operations staff daily work functions. Perform reviews of the job functions for timeliness and quality performance with limited supervision and guidance.
- Produce weekly review reports and monthly trending reports for operations activities.
- Conduct statistical sampling of core activities and perform analyses of results to ensure compliance with documented policies and procedures.
- Perform QC of key Transparency Services, Operations functions by reviewing and analyzing information contained in the department's various databases and tracking systems. Review internal applications/databases for trade reporting, corporate actions and reference data to gather and review information.
- Monitor on daily basis the trade alerts system to ensure alerts reviewed on a timely and equitable basis.
- Meet with Operations Control Director, as appropriate, to discuss areas of risk, trends, and work process inconsistencies. Assist with the development of action plans to improve accuracy rates, reduce risk, and eliminate routine errors.
- Assist in oversight of Ops Procedures. Ensure that only appropriate personnel have access to the procedures portal site. Additionally, ensure that procedures are updated and per the department's established timelines and that all procedures that need modifications are checked out and checked in correctly.
- Communicate effectively with other staff and units to provide resolution to issues with clarity, tact and professionalism.
- Maintain essential skills by attending classes, training programs, and required staff meetings, which may occur outside normal business hours.
- Assist with special projects as assigned by management.
- Perform other duties required to maintain and promote the effective operation of the Operations Control Unit and other units in Transparency Services Department.
Qualifications Education/Experience Requirements:
- A Bachelor's degree or equivalent work-related experience required. A minimum of two years relevant or related experience required in a role that utilized research/analytical skills, quality control, and/or root cause and trend analysis.
- Strong organizational, analytical and interpersonal skills are required.
- Prior experience in an operational risk management or governance role is a plus.
- The ability to multi-task and attention-to-detail are essential.
- Basic writing skills are required and excellent verbal communications are necessary.
- Ability to extrapolate data in databases is required, as well as proficiency in Windows PC environment, including MS Word and Excel.
Working Conditions:
- Work is performed in an open office environment.
- Evenings/weekends may be required on occasion.
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. In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA. Please note: 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. As standard practice, employees must also complete FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism.About FINRA The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect America's investors by making sure the securities industry operates fairly and honestly. All told, FINRA oversees nearly 4,600 brokerage firms, about 164,000 branch offices and approximately 632,000 registered securities representatives.