Address
Form of workEssential Job Functions:
- Coordinate with members of Product Management team, internal and external Development teams, Market Regulation and Finance to test and validation of all business functions for Transparency Services applications and their impact on associated FINRA applications.
- Apply in-depth business knowledge on Equity and Fixed Income products to all job functions.
- Work with the Multi Product Platform Trade Reporting application (MPP) service providers and across departments implementing best practices to coordinate business testing, User Acceptance testing, and regression testing on the MPP, where the application is built to receive orders, trades, and quotes from participant member firms for regulatory purposes.
- Develop test plans for both internal and external use to verify that the application is processing messages according to the business requirement for all facilities and products in compliance with FINRA and SEC rules.
- Validate that all inbound and outbound messages, such as trades, quotes, order response and admin messages are formatted correctly for both FIX and CTCI protocols. Support client trades, quotes, and order reporting messages from all test facilities including, Fixed Income Securitized Products (MBS, ABS, TBA, CMO), Corporate Bonds and Agency product, Equity Trade Reporting Facilities such as exchange Trade Reporting Facilities (NY and Nasdaq TRFs), Alternate Display Facility, and Over the Counter Trading Facility for OTC Equities.
- Conduct regular meetings with team members and management to communicate status, and discuss issues uncovered during testing. Document all issues and test results.
- Perform analysis to identify and mitigate risk associated with project implementations.
Other Responsibilities:
- Assists in Business Analysis functions by attending regular meetings, participating in design reviews, gathering requirements for new initiatives and providing production support on a regular basis for all Fixed Income and Equity Facilities.
Education/Experience Requirements:
- BA/BS in business, economics, or computer science.
- Minimum of five (5) years of experience in areas such as financial products, investment banking, research, broker/dealer operations, financial services technology product development, securities regulation. Project management experience.
- Experienced at working in cross-department teams.
- Advanced analytical and testing abilities.
- Excellent verbal and written communication skills.
- In-depth knowledge of Financial Market Operation for Equities and Fixed Income is critical.
- Knowledge of securities regulation and compliance issues, or excellent overall knowledge of financial services technology and technology product management.
Working Conditions:
- Standard office environment.
- Extended hours and limited travel may be required.
For work that is performed in CA, Washington, DC, CO, HI, 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 $106,400, Maximum Salary $200,200
Washington, DC: Minimum Salary $106,400 Maximum Salary $191,800
Colorado/Hawaii: Minimum Salary $92,500, Maximum Salary $166,800
New York, NY: Minimum Salary $111,000, Maximum Salary $200,200
Washington State: Minimum Salary $92,500, Maximum Salary $191,800
#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.
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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 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.
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All 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.
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