Associate Principal Business Analyst, Transparency Services

About FINRA

FINRA (Financial Industry Regulatory Authority) is the largest independent regulator of securities firms doing business in the United States. Our mission is to protect investors and ensure market integrity through effective and efficient regulation. We oversee approximately 3,400 brokerage firms, 152,000 branch offices, and nearly 624,000 registered securities representatives. At FINRA, you'll join a team of dedicated professionals committed to safeguarding the financial system and empowering investors.

The Opportunity

Do you thrive at the intersection of business analysis, securities markets, and technology? As an Associate Principal Business Analyst on the Transparency Services team, you'll play a vital role in building and maintaining the systems that power FINRA's market surveillance and regulatory oversight. This isn't just requirements documentation—it's detective work, problem-solving, and collaboration that directly supports fair and transparent markets.

You'll work alongside senior analysts to translate complex regulatory needs into technical solutions, bridging the gap between market surveillance teams, technology developers, and FINRA member firms. From gathering requirements for new surveillance capabilities to testing critical system enhancements and training users on powerful analytical tools, your work ensures that FINRA's technology infrastructure keeps pace with rapidly evolving markets.

If you're analytical, detail-oriented, and excited to learn the inner workings of securities trading systems while contributing to investor protection, this role offers an exceptional opportunity to grow your business analysis career in a mission-driven environment.

What You'll Do

• Drive Requirements & Documentation: Collaborate with senior analysts to gather, draft, and refine business requirements, technical specifications, user guides, procedures, and technical notices to member firms—ensuring developers have clear direction and users have the guidance they need.
• Bridge Business & Technology: Work closely with Market Operations, Market Regulation, Office of General Counsel, and technology teams to ensure systems integrate seamlessly into real-time and post-market surveillance environments.
• Manage Projects & Track Progress: Assist in identifying milestones, maintaining project plans, tracking user feedback, and managing backlogs using tools like Miro, JIRA, Excel, and PowerPoint—keeping initiatives organized and on track.
• Provide Production Support: Respond to inquiries from internal teams and member firms regarding data and system issues, troubleshoot problems, and escalate complex matters to senior analysts when needed.
• Shape User Stories & Testing: Participate in requirements reviews with stakeholders, identify and write user stories and test scripts, and actively engage in application testing to ensure quality and functionality.
• Empower Users: Create clear user documentation and training materials, and deliver end-user training that helps teams leverage FINRA's surveillance systems effectively.
• Ensure Quality & Integrity: Contribute to quality assurance processes through software reviews and release testing, protecting the integrity of FINRA's critical processing environments.
• Embody FINRA's Values: Collaborate both in-person and virtually to advance investor protection and market integrity in all that you do.

What You Bring

Required Qualifications:

Education & Experience:

• Bachelor's degree in Finance, Business, Information Technology, or related field
• Minimum of four (4) years of related experience in business analysis, financial services technology, or securities operations

Knowledge:

• General understanding of fixed income and/or equity order management or trade reporting systems
• Working knowledge of application design and analysis

Skills:

• Excellent organizational skills with ability to manage changing priorities in a fast-paced environment
• Strong written and verbal communication skills—you can translate technical concepts for diverse audiences
• Ability to work effectively within established guidelines and procedures while adapting to evolving needs

Preferred Qualifications:

• Experience with securities industry processing, including knowledge of FINRA member firm order and trade reporting systems or exchange-based systems
• Familiarity with market surveillance concepts or regulatory technology environments
• Hands-on experience with business analysis tools such as Miro, JIRA, Confluence, or similar platforms
• Background in quality assurance, user acceptance testing
• Understanding of data collection and reference data management in financial services

Why Join FINRA?

You'll build valuable expertise at the intersection of securities markets, regulation, and technology—skills that are in high demand across the financial industry. We offer competitive compensation, comprehensive benefits, professional development opportunities, and a collaborative culture where your analytical skills directly contribute to market integrity and investor protection.

Ready to turn complex regulatory challenges into elegant technical solutions? Let's talk.

Work Conditions:

• Hybrid work environment, with defined in-person presence requirements.
• Some travel/in-person presence required.
• Extended hours, including occasional weekend testing may be required.

For work that is performed in CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. 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 market considerations.

CO/FL/TX: Minimum Salary $83,900, Maximum Salary $150,300

IL/PA: Minimum Salary $92,400, Maximum Salary $165,300

MA/MD/VA/Washington, DC: Minimum Salary $96,600, Maximum Salary $172,800

NY/NJ: Minimum Salary $96,600, Maximum Salary $180,400

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 www.finra.org/careers into your browser to reach our site directly.

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

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 Employer

All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law.

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 [email protected]. Please note that this process is exclusively for inquiries regarding accommodations in the application process.

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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